of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the
delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or
advice without taking into account the objectives for investment, financial conditions or specific demands of any particular persons; (b) disseminating general advice to the public in such ways that allow
selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the
relating to securities to be used in advising or disseminating , whether directly or indirectly, on the value of securities or the suitability of investing in such securities; “securities investment analyst
an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds
DRAFT (Translation) DERIVATIVES ACT B.E. 2546 (2003) ( (As Amended) BHUMIBOL ADULYADEJ, REX., Given on the 3rd Day of July B.E. 2546; Being the 58th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law governing derivatives transactions; Whereas this Act contains certain provisions relating to the restriction of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Se...
finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
Paragraph 1 shall include any business having any of the following chrematistics: (a) distributing products or providing services to the general public, either directly or indirectly, through other