particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a
. Clause 3. In this notification: “securities” means securities which are debt Securities; “securities company” means a company licensed to undertake securities business in the category of securities dealing
acquisition of assets under the Notification of the Capital Market Supervisory Board No. Tor Jor. 20/2551 Re: Rules on significant transactions constituting acquisition or disposal of assets (“Rule of
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
Handbooks / Best Practices SHARE : Detail Content Fund Raising FORM 56-1 : Annual Registration Statement Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations
Patunam Khonkaen Company Limited Patunam Khonkaen Company Limited offer for sale newly issued securities in the category of bill without having obtained an approval from the SEC Office. charge is
Kannithi Company Limited Kannithi Company Limited offered for sale newly issued securities in the category of debentures (Private Placement : PP) without approval from the SEC office which is in
Thanathip Consult Company Limited Thanathip Consult Company Limited offered for sale newly issued securities in the category of debentures (Private Placement : PP) without approval from the SEC