category of securities brokerage, securities dealing, investment advisory services, securities underwriting, but shall not include a financial institution under other law and later obtain a license to
, securities underwriting, but shall not include a financial institution under other law and later obtain a license to undertake securities business; “Full-service Branch Office” means a securities company’s
draft prospectus together with the application to obtain approval, it shall be deemed that the submitted registration statement is the evidentiary documentation supplemented to the application which has
Cease Such Business to Connected Person Attn.: President The Stock Exchange of Thailand Enclosure Information Memorandum re: The Disposition of Assets Relating to the Business of Manufacturing Accessories
fund manager. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2
fund manager. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2
securities company to 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
estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where
) cease to be the manager of the management company or any equivalent position called otherwise who take the highest responsibility in the line of work relating to capital markets if such person obtain an
performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may be, as