advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the
under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
tables attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary; “ fund management company ” means a securities company licensed to undertake securities business in the
attached hereunder: “ intermediary ” means a securities company or a derivatives intermediary. “ fund management company ” means a securities company licensed to undertake securities business in the category
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification
- 2 - สิ่งที่ส่งมาด้วย - ตัวอย่างการคิด company limit ตัวอย่าง : บลจ. A ทำธุรกรรม reverse repo กับคู่สัญญา B ทั้งสิ้น 3 ธุรกรรม โดยใช้ตราสารหนี้ ของบริษัท ( ( และ ( ตามลำดับ ทั้งนี้ มูลค่าธุรกรรมและ
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1