business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various guidelines
as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client in writing . There
a securities company as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client
for Sale of Securities (No.4) dated 21 July 2011. 6 securities holders from which they subscribe for securities. (3) where subscribers are securities depository centre, securities custodian, securities
was a “broker No.5” of the Stock Exchange of Thailand and the services were as follows: - Securities broker business - Securities underwriting business - Derivatives broker business - Securities
following characteristic: (1) An offer for sale to the investors under Clause 21(1), in cases where the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds
Clause 47(1), if the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds debt securities on behalf of other persons, the number of investors shall be counted
private placement under Clause 46(1), in cases where the Thailand Securities Depository, custodian, securities broker, securities dealer or any person holds the debt securities on behalf of other persons