delivering is required according to the Notification of the Capital Market Supervisory Board in relation to short selling of securities by means of borrowing securities for delivering; (2) being short selling
auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding
the underlying goods of derivatives (if any) before sending trading orders; (2) having a system for repaying obligations under derivatives and delivering the underlying goods of derivatives (if any) by
transactions on behalf of a client and the securities company has already issued a cheque for payment or delivering such money to the client within the clearing date; (d) money received on behalf of a client
derivatives clearing house , the receiving derivatives broker shall comply with clause 3, clause 4, clause 5, clause 6, and clause 7 when the receiving accepted such position. In this regard, the delivering
investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
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...
shares for delivering to allocated persons or returning to lenders according to the obligation of over allotment of shares; (9) “overallotment of shares” means allotment of shares to subscribers in an
for delivering to allocated persons or returning to lenders according to the obligation of over allotment of shares; (9) “over allotment of shares” means allotment of shares to subscribers in the amount