offer for sale of securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the
securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the following manners: (a) a
underwriter in the following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding
is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mututal fund, private fund, the Governement
Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mututal fund, private fund, the Governement Pension Fund, provident fund or any other legal entities
able to engage in derivative business only with Institutional Investors Investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life
institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mututal fund, private fund, the Governement Pension Fund, provident fund
Printable Format - กฎหมาย ประกาศ หนังสือเวียน วิธีปฏิบัติ Securities Underwriter Business >> การลดทุนของบริษัทหลักทรัพย์ (มาตรา 98(1)) ประเภท เรื่อง มาตรา ดูเอกสาร วันที่ลงนาม วันที่มีผลใช้บังคับ 1
Printable Format - Laws and Regulations Marketing |- Approval and Standards Practice |- Code of Conduct |- Fees |- Related Circular Letter Bond Dealer and Underwriter |- Fees (section 14 and 19