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
Procedures for Dealing of Debt Securities (No. 3) dated 31 January 2000. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed
debt and equity securities. 6. Receivables from clearing house means a net balance account of receivables from the Thailand Securities Depository Company Limited (TSD.) resulting from paying for the
where the Company has debt securities such as debenture and negotiable instrument, describe the significant characteristics of such securities. For example, type, unredeemed amount and value, maturity
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or
offering1. In this regard, the Company shall disclose the following information: (1) Spending of the money obtained from each offering of equity or debt securities2. Spending Objectives Amount of Spent Money
significant terms such as the right to put and call options; (2) In the case where the Company has debt securities such as debenture and negotiable instrument, describe the significant characteristics of such
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means a company licensed to
Companies ; (2) “ securities ” means any securities which are not debt instruments or investment units; (3) “ securities company ” means a company licensed to undertake securities business in the category of