hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
process of temporarily suspending their business or suspended business operations by SEC List of company licensed Securities Underwriting (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation
ตั้งเป็นผู้จัดจำหน่ายหลักทรัพย์ (Underwriting Agreement) ในต่างประเทศกับกองทุนรวมได้หรือไม่ ข้อ 2 กองทุนรวมอสังหาริมทรัพย์ (กอง 1) สามารถจัดให้มีการจัดจำหน่ายหลักทรัพย์ในต่างประเทศได้หรือ
and the Derivatives Act, i.e., securities and derivatives business operators in the categories of, e.g., securities brokerage, investment advisory service, securities underwriting, mutual fund
, supervisory guidelines for bills of exchange and extension of regulation on net liquid capital rule on business operators of brokerage, dealing and underwriting of investment units (LBDU) as follows: 1. Bill
underwriting of TAKUNI and CCN securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or
Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to
500,000 baht the law requires, he was fined at such amount.In addition, as Chai is a director of Bangkok Life Assurance PCL, which is a Limited Brokerage, Dealing and Underwriting (LBDU) licensee, he is
license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no