classification of units. (c) if the unit holding does not comply with (a), the underwriter will be restricted from receiving dividends and exercising voting rights, on the portion that exceeds the specified rate
outsourcing date. Clause 12 5 Subject to Clause 12/1, the derivatives dealer shall take into account the suitability of proposing derivatives to the client. In any case, the types of the clients and the types
Disclose Information related to the assets in custody to the clients Custodian shall report the investment position, the flow of assets, rights and dividends received from the investment, and accrual/payable
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
the committee [according to Clause 37] for considering facts and evidence and proposing opinions on such matter [back to the SEC Office]. In this regard, if the committee wishes for the person under
) deliver facts and elucidation (if any) of the person under consideration to the committee [according to Clause 37] for considering facts and evidence and proposing opinions on such matter [back to the SEC
of share dividends; (f) conversion of securities; or (g) any other circumstance. (3) terms regarding restitution for compensation similar to the aforementioned circumstances to counterparty which have
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
increase or decrease in the number of shares; (c) redemption of securities; (d) amalgamation, merger or takeover by making a tender offer; (e) distribution of share dividends; (f) conversion of securities
Translation (Translation) PAGE (Translation) -45- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By...