Section 100 Securities and Exchange Act B.E. 2535 Section 100. The appointment of any person to be an agent or broker of a securities company shall require prior approval from the Office. Application
in the form of program” means newly issued short-term sukuk that has obtained an approval from the SEC Office for multiple offers for sale without the obligation to repeat the application for approval
Clause 5 of the Notification of the Capital Market Supervisory Board No. TorChor. 34/2551 Re: Application for and Approval of Offer for Sale of Newly Issued Share Warrants and Underlying Shares dated 15
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
to Issuance and Offer for Sale of Securities. Clause 3 This Notification shall be applicable to: (1) Application for Approval and Granting of Approval for an Offer for Sale of Depositary Receipts under
Section 92 Securities and Exchange Act B.E. 2535 Section 92. A securities company may establish a branch office only when an approval has been given by the Office. The application for and the
files the Registration Statement and draft prospectus together with filing the application to obtain approval, it shall be deemed that the submitted Registration Statement is the evidentiary documentation
Approval and Duty Performance of CIS Operator __________________ Clause 4 Unless specified otherwise in this Notification, in offering for sale of units of a collective investment scheme, the CIS operator
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling