obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
) Limited company or public limited company of which the fund supervisor, its directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor
and not misleading. Clause 15. To protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior
following qualifications: (1) Being executive of a securities company. This shall be limited to only one person for each securities company; or (2) Being mutual fund manager or private fund manager. Clause 6
Thai NVDR มีการลงทุนใน บจ PAGE 11 เอกสารเผยแพร่ เลขที่ อจ. 6/2546 เรื่อง แนวคิดในการจำกัดจำนวนหุ้นรองรับใบสำคัญแสดงสิทธิที่จะซื้อหุ้น (warrant) และการแก้ไขข้อกำหนดอื่นๆ เอกสารฉบับนี้ได้จัดทำขึ้นโดยมี
. In case of absent of the branch office manager under the first paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference (UNOFFICIAL TRANSLATION) PAGE (Translation) 8 Readers should be
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref (UNOFFICIAL TRANSLATION) PAGE Readers should be aware that only the
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for ref TRANSLATED VERSION As of May 10, 2011 5 Readers should be aware that