such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
final order or judgment relating to the specified matter [in the Clause thereof], or [ii] when the SEC Office accuses such person to the inquiry official or issues a letter notifying the possession of
inquiry official or issues a letter notifying the possession of characteristic of lacking trustworthiness, as the case maybe, until such person no longer possesses such prohibited characteristics; (2) in
. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the general public as being ready to engage as an agent in the business of trading in derivatives
therein being that such person shall be registered as a qualified fund supervisor – for the benefit in considering the registration of such qualified fund supervisor, the Office of the Securities and
: ................................................................................................................... Child information: number of children: ......... person(s) Name of children Date of Birth Age (years) Workplace (1
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet