verification and examination. CHAPTER III Custody of client’s assets Clause 17. A securities company shall segregate the assets under its custody as customer’s assets not less than the followings: (1) money; the
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
responsibilities of personal and units shall be appropriately divided; (d) arrange to have information and communication system related to business conduct with internal and external sources in appropriate form and
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
investors, and are divided into two categories: Category A Investor Contact and Category B Investor Contact; (3) “Category A Investor Contact” means any investor contact who is also authorized to analyze
who has duties to contact, solicit, advise or prepare investment plans for investors and are divided into two categories: Category A Investor Contact and Category B Investor Contact; “Category A
) The Company has a registered capital of baht, of which ___________ baht is paid up, divided into _________________ ordinary shares and ____________ preferred shares (if any), at ________________ baht
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
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
and all persons under Clause 6 shall not exceed the amount of securities allotted to investors in book building divided by the number of such investors obtained securities from the allotment; (c) in the