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
________________________________________________________________________ If “No”, please specify the expected commencement of the offer of NRI CIS ________________________________________________________________________ 9) Please provide the investment objective/policy
approved for an offering in the Kingdom of Thailand under the Notification of the Capital Market Supervisory Board concerning Offer for Sale of Debentures Denominated in Foreign Currency in the Kingdom of
currency and approved for an offering in the Kingdom of Thailand under the Notification of the Capital Market Supervisory Board concerning Offer for Sale of Debentures Denominated in Foreign Currency in the
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
Re: Application to offer Foreign ETF in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify the Securities and
transactions. Clause 9 A securities company shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the
, Thailand Re: Application to offer ARFP Passport Fund publicly in Thailand I/We _________________________________________________ as an operator of _____________________________________________ hereby notify
: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer Hong Kong Covered Fund publicly in Thailand I/We _________________________________________________ as an operator of
offer for sale of securities; (2) “related person” means a person who has a relationship with a director, an executive, a major shareholder or a controlling person of a securities underwriter in the