or Clause 8 of Chapter 1, as the case may be. Chapter 1 The Applicant _____________ Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Sor Nor. 87/2558 Re: Rules, Conditions, and Procedures for Management of Retail Funds, Mutual Funds for Accredited Investors, Mutual Funds for Institutional Funds, and Private Funds ______________________ By virtue of Clause 6, Clause 8, and Clause 9 of the Notification...
obtains a tendency to continuously recover and more stability. Due to the reasons that China’s economy enables to be expanded while US’s economy still slightly slowdowns. However, this slowdown is expected
combination in this year acquires entire 3-month turnovers in the collective financial statement including the high increase of sales volume of cleanser and medical supplies due to the Company becomes greatly
) shall be- (1) securities company which obtains securities business license in the category of securities brokerage but shall not include securities company which obtains securities business license in the
; “ securities company ” means a securities company which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial
which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial Institution, a life insurance company under
shares : 40 voting rights. ■ Mr. Kor holds shares with 45,000 voting rights and 9,000 warrants of Company A. ■ If Mr. Kor acquires additional shares with 5,000 voting rights, 2,000 warrants, and 1,000