log etc. for the purpose of inspection and it shall keep such record for three months at least. Propose to keep a log of front office for 5 days. Ayudhaya Securities Company Limited, For a purpose of
. Chapter1 General Provisions _____________________________ Division 1 Regulatory purpose _____________________________ Clause 2 Due to the undertaking of an intermediary as capital market servicer renders
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
characteristics as specified in Section 103, the Office shall have the power to withdraw its approval and the securities company shall propose other persons for the approval from the Office within fifteen days from
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of
Institution Problems” means a person who makes decisions to invest in real estate or leasehold right, select or propose to the unitholders or his designated person who makes decisions on investment in real
the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
particular time; (5) Investment in financial instruments/contracts which are legal under the concerned laws; (6) All expenses chargeable to the fund should serve the purpose of fund operation; (7) Every
licensed to undertake Type C securities business and a person licensed to undertake Type D securities business is eligible to undertake securities business relating to such share. For the purpose of the