. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
Licensees Approval Date 1 THE HONGKONG AND SHANGHAI BANGKING CORPORATION LIMITED 17 April 2002 2 BANG OF AYUDHYA PUBLIC COMPANY LIMITED 16 October 2003 3 DEUTSCHE BANK AG BANGKOK BRANCH 15 July 2004 4
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
investment units from an asset management company which offered for sale of investment units by presenting a false prospectus; - Purchasing securities from a securities issuing company who disclosed
TMBThanachart Bank Public Company Limited 3000 Phahon Yothin Rd., Chom Phon, Chatuchak, Bangkok 10900 August 27, 2004 4 Bank of Ayudhya Public Company Limited 1222 Rama III Road Bang Phongphang Yan Nawa Bangkok