title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
the clearing date; (d) money which is divided or interest on securities or instruments owned by the client which the securities company receives on behalf of the client and the securities company has
instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
company undertaking securities business. Investor contact are divided into two categories: Category A investor contact who can analyze securities investment and Category B investor contact who cannot
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
facilitate cross-border offerings of funds to the public. The scope of agreement on offerings of fund under HK-TH MRF MoU is divided into two parts as follows: 2.1 Expedited review of application for the
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) the term “company,” “parent company,” “subsidiary company,” “major shareholder,” and “controlling person