licensed to undertake securities business in the category of underwriting, including any selling agent; (6) “ patron ’ means a person who patronises the issuer, for instance, clients, suppliers, employees of
mechanism or measure which render the securities underwriter to perform duties independently: (1) in case the securities underwriter, or parent company or subsidiary company of the underwriter is the sponsor
exclude persons who are allocated as a result of their position as director, employee, or patron of the issuer. (b) prepare a summary report of securities allotment categorized by client groups, that are
Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
เกิดขึ้นหรืออาจเกิดขึ้นกับผู้ถือใบสำคัญแสดงสิทธิ อนุพันธ์ ข้อ 22/17 ผู้ได้รับอนุญาตต้องจัดให้มีการเปิดเผยข้อมูลเปรียบเทียบค่าความผันผวนแฝง (implied volatility) ของใบสำคัญแสดงสิทธิอนุพันธ์ที่ได้รับอนุญาต