) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of
................................................................................................................. ............................................................................................................................................................ กรุณาส่ง ฝ่ายกำกับธุรกิจจัดการลงทุน สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ ชั้น 10 อาคารดีทแฮล์ม ทาวเวอร์บี ถนนวิทยุ ลุมพินี ปทุมวัน กทม. 10330 แบบแสดงความคิดเห็นเกี่ยวกับการแก้ไข พ.ร.บ
securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best
, Thailand 333/3 Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Tel. +66 1207 or +66 2695 9587 Fax. +66 2695 9793 e-mail : oca@sec.or.th 1. Applicant details Mr. Miss Mrs. Other (please
substantial fees are overdue? 9 Are there any significant bad debt write-offs for existing audit clients? 10 Non Audit Services / Cross Selling: Should require that: others within the firm, and its network
relation to the business group of the major shareholder. If the business structures of the Company or its group of companies call for substantial competition, demonstrate clearly how the Company protects the
333/3 Vibhavadi-Rangsit Road, Chomphon , Chatuchak Bangkok 10900, Thailand Tel. +66 1207 or +66 2695 9587 Fax. +66 2695 9793 e-mail: oca@sec.or.th 1. Applicant details Mr. Miss Mrs. Other (please
company, the fund project, the agreement appointing the fund supervisor and the prospectus having substantial information is not different from the ones filed with the Office; (2) ensure that the fund has