Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
Rules, Conditions and Procedures for Securities Underwriting ; (2) “ offeror ” means the promoters of a public limited company, a company or owner of securities who have offered for sale of securities to
means the following securities: (1) the investment unit specified under the Law on Securities and Exchange ; (2) a financial instrument or certificate representing the right of the holder as the owner or
considering which act of the person giving advice or the owner of the website or electronic media is or is not liable to be an undertaking of securities business in the category of investment advisory or an
Stock Exchange of Thailand; “ investment unit ” means: (1) The investment unit specified under the Law on Securities and Exchange ; (2) A financial instrument or certificate representing the right of the
assessment according to Clause 30, an intermediary shall obtain at least the following a client ’s information: (1) personal information of the client or beneficial owner and information of their
) “ major shareholder ” means any shareholder or beneficial owner of shares holding more than 10% of the total number of the applicant’s voting rights shares; For the purpose of the first paragraph, a