No. 21, six levels higher than No. 27 in the preceding year, and No. 5 within the Asia-Pacific region. Two areas of better performances were (1) Dealing with Construction Permits and (2) Protecting
category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, investment advisory services
undertake securities business in the category of securities brokerage, securities dealing or underwriting of investment units. Enclosure 4 Enclosure 4 http://www.sec.or.th/ 2 1.5 Filing of the registration
reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of
reference. Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of the
shall include managing director or equivalent which is called differently; “Market price” means price of equity instrument in securities exchange or price of debt instrument which was offered by Thai Bond
company and shall include managing director or equivalent which is called differently; “Market price” means price of equity instrument in securities exchange or price of debt instrument which was offered by
entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is