. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in
service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities
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
incorrect until the date on which the unit value is correct, and shall take the following actions only on such particular dates on which the difference between the incorrect unit value and the correct unit
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
ระบบทะเบียนกรรมการและผู้บริหารของบริษัทจดทะเบียน PAGE - 2 - ฉบับที่ 5/2550 วันจันทร์ที่ 22 มกราคม 2550 ก.ล.ต. ขยายเวลาการนำส่งงบการเงินและผล special audit ให้ ABICO สืบเนื่องจาก ก.ล.ต. ได้สั่งให้
over the benefit of itself, in particular, it shall trade in securities for the client prior to trading for itself, unless the order of the client clearly specifies the condition of trading otherwise
Act, B.E. 2535 (1992), and Section 139(5) of the Securities and Exchange Act, B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 2) B.E. 2542 (1999) which contains a particular
Notification of the Securities and Exchange Commission No. SorThor. 4/2552 Re: Special Holiday for Securities Companies and Derivatives Business Operators _____________ With regard to the Cabinet’s resolution on
-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools for