be recovered, such customer shall be entitled to file a claim for the deficient amount in the bankruptcy proceedings where the derivatives business operator is the debtor. Such claim shall, however, be
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
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
offer adequate time to the client for considering and making a decision for investment. While checking accuracy of information affecting the decision of the client , the intermediar y shall control and
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
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
a decision to use the services; (6) not urge the client to make a decision to invest [in capital market products ], but shall offer adequate time to the client for considering and making a decision
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