” means a person who entrusts a securities company to undertake the purchase and sales of securities on his/her behalf; “institutional customer” means a commercial bank or finance company or securities
the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise
price is a firm quotation or an indicative quotation. Clause 10. In case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
shall be specified with details on the identification and number of customers/suppliers, the nature of relationship and the types of products for sale and purchase. In any case, if the Company has already
/suppliers, the nature of relationship and the types of products for sale and purchase. In any case, if the Company has already disclosed the names of such customers or suppliers to other persons such as
, the nature of relationship and the types of products for sale and purchase. In any case, if the Company has already disclosed the names of the customers or suppliers to other persons such as investors
Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules
Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its
" means any document issued for the purpose of inviting any person to subscribe or purchase the securities issued or offered for sale by the issuer or the seller. "company" means any limited company or