servicing agreement, the intermediary shall refuse to provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
provide any service or limit scope of providing services. Clause 37 An intermediary shall review or adjust received information as prescribed in Clause 31 to be current at reasonable time or when it appears
Issuance and Offer for Sale of Securities . (b) in case of reporting the result of the sale of debt securities, the terms “ debt securities ” “ short-term bonds ” “ short-term bills ” “ institutional
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
case of providing services as a secondary market for trading of shares or debentures of limited companies or public limited companies which offer securities for sale through a crowdfunding portal which
, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of
, securities business, the Securities Exchange, over-the-counter centres, and related businesses, organizations related to securities business, issue or offer of securities for sale to the public, acquisition of
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in