ที่เป็นผู้จัดการรับประกันการจำหน่ายและจัดจำหน่าย (lead underwriter) เป็นผู้จัดทำและยื่นรายงานตามวรรคหนึ่ง ข้อ 5 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 3 เมษายน พ.ศ. 2543 เป็นต้นไป ประกาศ ณ วันที่ 14 มีนาคม

  การจัดจำหน่ายตราสาร ทุน/หนี้               ผู้จัดการการจัดจำหน่าย (lead underwritter)  มี ไม่มี           ผู้ร่วมจัดจำหน่าย (co underwritter)  มี ไม่มี            ตัวแทนจัดจำหน่าย (selling

Securities and Exchange Commission throughout the approval period. I fully acknowledge that failure to proceed in accordance with this certification may lead to the SEC Office’s refusal to grant approval to

deception, frauds or corruption during the period as prescribed by the Office and no more than three years prior to the date the branch office starts its operation; (3) the management company is not being

trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office

, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office starts its

criminal proceedings by an agency having charge and control of the law, for an offence relating to unfair practice concerning securities or derivatives trading or administration amounting to deception

or conceal the truth that should be disclosed which cause deception to customer or may make them misunderstand in any material aspects. Clause 27. Derivatives broker shall arrange to have complaints

paragraph, the management company shall prepare a written agreement and a memorandum containing facts which lead to why the management company considers that such transaction complies with the rules

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the