the client ’s asset which is under the following rules: (a) in case the client ’s assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to
client’s asset which is under the following rules: (a) in case the client’s assets have been in custody of the intermediary, the administrative system shall be provided adequately in order to protect the
property, regardless of whether such property is in the custody of the derivatives business operator or is placed or deposited by the derivatives business operator with any other person, provided that, the
for sale of securities; (3) subscription, underwriting and distribution of securities; (4) acceptance of payment and delivery of securities; (5) custody and arrangement concerning the payment for the
ratio; (2) period for the offering for sale of securities; (3) subscription, underwriting and distribution of securities; (4) acceptance of payment and delivery of securities; (5) custody and arrangement
distribution of securities; (4) acceptance of payment and delivery of securities; (5) custody and arrangement concerning the payment for the subscription of securities; (6) any other conditions necessary to
products, e.g., transferable custody receipts (TCR), derivatives funds, and stock options, etc.; ë To accommodate provision of product alternatives for investors with higher risk profiles; ë To encourage
Annual Report 2003 A N N U A L R E P O R T 2 0 0 3 S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N & O F F IC E O F T H E S E C U R IT IE S A N D E X C H A N G E C O M M IS S IO N , T H A IL A N D SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND ANNUAL REPORT 2003 SECURITIES AND EXCHANGE COMMISSION, THAILAND OFFICE OF THE SECURITIES AND EXCHANGE COMMISSION, THAILAND 10th and 13th-16th Fl. Diethelm Towers B, 93/1 Wireless Road, Lump...