Offering “listed co.” บริษัทจดทะเบียนในตลาดหลักทรัพย์แห่งประเทศไทยหรือ ในตลาดหลักทรัพย์ต่างประเทศ “non-listed co.” บริษัทที่ไม่ใช่ listed co. “head of IB department” ผู้ดำรงตำแหน่งผู้อำนวยการฝ่ายหรือเทียบ
or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of
contracts. “insurance” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of Capital Clause 4
subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in any Clause of this Chapter permits to do so; (3
characteristics of eligible service provider shall be subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in
Investors from the Provisions of Public Offering for Sale of Securities dated 12 August 2012 shall be repealed. Chapter 1 General Provisions _________________________ Division 1 Scope of the provisions
be approved by the SEC Office upon full compliance with the following criteria: (1) the applicant is the issuer of depositary receipts in accordance with the criteria specified in Division 1 of this
in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is the