Issuance and Offer for Sale of Securities . (b) in case of reporting the result of the sale of debt securities, the terms “ debt securities ” “ short-term bonds ” “ short-term bills ” “ institutional
constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2. receiving a gift or other benefits from the client
. receiving a gift or other benefits from the client , servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
investment units with gifts, rights or any other benefits, such advertisement is permitted only when the promotion period, value and amount of gift, rights or any other benefits are appropriate and fair
promotion which provides investors who invest in investment units with gifts, rights or any other benefits, such advertisement is permitted only when the promotion period, value and amount of gift, rights or
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
this regard, the SEC Office may also impose conditions on the intermediary obtaining such waiver. Clause 5 For communication with and providing services to clients, an intermediary shall provide or offer
of selling to the offeror in a tender offer under the law on securities and exchange. Clause 4. The borrowed securities or lent securities under Clause 2 shall be securities in securities depository