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
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
shareholders make an agreement on a matter that materially affect the issuance and offer for sale of securities or the management of the Company, and such agreement is co-signed by the Company, identify such
5 3 For communication with and providing services to clients, an intermediary shall provide or offer services suitable to each client carefully, especially with special care to one of the following
business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units
, 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
materially affects the issuance and offer for sale of securities or the management of the Company, and such agreement is co-signed by the Company, identify such agreement and clarify its essences and impacts
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
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
offer for sale of securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the