personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in
impacts. If the impacts as such significantly affect customers or relevant persons, such as, a close or postponement of opening in any business locations, a failure to securities trading systems or
transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to match the trades (matched order) without any
, the intermediary shall accept such orders only in any of the following cases: (a) trading orders of investment units ; (b) subscription forms for securities at the places and by the methods specified in
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
places and by the methods specified in the prospectus and the registration statement. In cases where the capital market products under subclause (1) of Paragraph 1 are investment units of an exchange
, telephone number, facsimile number, amount and type of the total sold shares of the juristic person whereby the Company holds at least 10 percent of such shares; and (3) Names, locations, telephone numbers
แบบแสดงรายการข้อมูลการเสนอขายหลักทรัพย์ (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale ....................................................................................................................................................... .................
information shall be disclosed herein as well. 5. General information and other material facts 5.1 General information Names, locations, telephone numbers and facsimile numbers of other referential persons such