Granting the Purchasing Right to Provider of Over-Allotment Shares After Allotment of Shares in Excess of Underwriting Amount
Section 116 Securities and Exchange Act B.E. 2535 Section 116. In operating the business of securities underwriting, a securities company shall comply with the rules, conditions and procedures as
Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
brokerage income from reinsurers” total THB 520.10 million for the 2 nd quarter of 2019. This is an increase of THB 55.56 million (12%) relatively to last year figure. Nevertheless, underwriting profit has
and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee
with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116
, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors