draft prospectus, including other documents and evidence with the Office; (2) to review and comprehend the information regarding the issuer of securities and other relevant information and take actions to
person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits in such a manner that
amount not exceeding fifty percent of the total outstanding investment units and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company
outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual
to our 2021 target of US$287M (US$195M extra efficiency gains over 2020) Overview This time last year the world was just beginning to comprehend the unprecedented nature of COVID-19 and the
selection and trading placement without interference throughout the transaction process. “intermediary” means: (1) securities business operator in the category of securities brokerage or investment advisory
(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. 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 an...