case of abnormal increase in transaction volume of the business operator to the effect that the business operator must arrange sources of short - term finance to allow maintenance of NC, and with respect
crucial and indispensable aspect is the collaboration from all sectors in propelling the Thai capital market as a driver of economic development, addressing the national needs efficiently and effectively
................................................................................................ 2 Part Two - Sustainability Strategy and Performance Sustainability Strategy ........................................................................................... 3 Collaboration
sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing
delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing and lending (SBL); “Central securities
Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of
of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of
) Flow 1 : การขออนุมัติ/จัดสรรวงเงินจากส านักงาน ก.ล.ต. (“ส านักงาน”) ส านักงานพิจารณาค าขอและอนญุาตการเสนอขาย ASEAN CIS ในประเทศไทย การควบคุมวงเงิน วงเงินใกล้เต็ม CIS Operator ประสงค ์ จะเสนอขายหน่วยในไทย
Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such