it makes underwriting. Clause 6 Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a
Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a major shareholder, a controlling person, a parent
companies are able to set a priority of works and allocate its resources for business continuity management effectively. At least, companies should conduct a risk assessment and business impacts analysis once
that the trustee shall manage such property for the benefit of beneficiaries. This meaning includes a document showing the intention to create trust whereby a settlor and a trustee are the same person
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
.................................................................. as an authorized person to affix binding signature on every page of this document. If the signature of...........................................does not appear on any document, such document shall be
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
cumulative voting whereby the investors allocate their votes to different nominees pursuant to the law on public company limited, or the majority voting method is used whereby a nominee must obtain more than
) imposing the intermediary to submit any information, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the