exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary
services for customers, the securities company shall open Monday to Friday from 8.30 A.M. till 5.00 P.M. and close on weekend and traditional holidays as notified by the Office on a yearly basis; (2) in case
ภาคผนวก 1 ภาคผนวก 1 กลุ่มประเทศ Organization for Economic Co-operation and Development (OECD) และประเทศที่มีฐานะการเงินเทียบเท่า ออสเตรเลีย เกาหลีใต้ ออสเตรีย ลักเซมเบิร์ก เบลเยียม เม็กซิโก แคนาดา
การจัดจำหน่ายตราสาร ทุน/หนี้ ผู้จัดการการจัดจำหน่าย (lead underwritter) มี ไม่มี ผู้ร่วมจัดจำหน่าย (co underwritter) มี ไม่มี ตัวแทนจัดจำหน่าย (selling
and service providing procedures to be in compliance with the provisions stipulated in Clause 5/3. In the case of repeated sale occurring with the communication and providing services of traditional
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
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
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator in the countries in the ASEAN Economic Community (“AEC”). (3) being an outbound product which is
member country of the Organization for Economic Co-operation and Development (“OECD”); (c) being a regulator of any member country of the ASEAN Economic Community (“AEC”). (3) being an outbound product