Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
share- holders (through what is known as 'tunnelling' 3 ), or misrepresenting an individual company's financial statements (of particular concern where the company is under pressure to meet expectations
business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total fees required to
each type of business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total
to adjust downward. The Thai Bond Dealing Centre (ThaiBDC)’s Government Bond Clean Price Index closed the year end at 101.95 points, down 2.58 points or 2.46% from the year before (Figure 3). Figure 3
Distribution of Newly Issued Shares and Share Warrants by Issuer
assistance deemed appropriate reasonable and beneficial to business operation and cost of funding. The interest rate charged from the transaction is considered to be a market rate as dealing with financial
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