specified in the notification of the SEC. In this regard, the SEC may also specify fees or service charges which the securities company may charge its customers for the performing underwriting service.
specified in the notification of the SEC. In this regard, the SEC may also specify fees of service charges which the securities company may charge its customers for performing investment advisory service.
regard, the information shall also cover the following matters: 1.1.1 Overview of the vision, objectives, goals and business strategies of the Company or the group of companies, as specified by the Board
credibility to Thai capital market system significantly, this Notification is stipulated with the objective to be standard of business operation which the intermediary shall comply with. In this regard, the
managing potential risks from service provision; (c) having a work procedure and an internal control system with details covering the operation as specified in Clause 4. In this regard, the applicant for a
securities company to manage the private fund, and shall manage the private fund in accordance with the rules, conditions and procedures as specified in the notification of the SEC. In this regard, the SEC
capital market product under (b). (5) the client wishes to invest by subscribing to an IPO of capital market products in the categories of share, share warrant, debenture, bill or bond. In this regard, the
from those of ordinary share, identify the key different characteristics, e.g., amount, value, rights and terms, and the characteristics of the persons holding such preferred shares, etc. In this regard
competition during the past year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared to the competitors, competitiveness and
person with regard to the purpose of investment, financial position and desire of such person; “related company” means (1) a company holding shares of twenty percent or more of all voting right shares of