provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
underwriting limited to investment units (LBDU) and derivatives brokerage by requiring the business operator set up a compliance unit with clear duty and responsibility in writing and having adequate number of
total number of REIT units sold, the limit applicable to other unitholders. The relaxation aims at enabling trustee participation in firm commitment deals of underwriting REIT units. The above amendments
instruments, depending upon the customers? risk appetite. Licensed underwriting firms will be permitted to underwrite overseas financial instruments in Thailand while other licensed business operators will be
REIT trustee must be independent from REIT manager. For the participation in REITs related businesses, such as underwriting or financial advisory service, a Chinese wall to prevent conflicts of interest
Mr.Chupong Thanasethakorn Mr. Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH), who was then responsible for the underwriting of Takuni
underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
undertake securities business in the category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities underwriting without
category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities underwriting without limitation to only debt securities
management, brokerage, dealing or underwriting of securities and a securities company licensed to undertake securities business in the category of brokerage, dealing or underwriting of investment units to