Proprietary Trading of Securities and Derivatives for Derivative Brokers. Notified this 7th day of April 2015. (Mr. Vorapol Socatiyanurak) Secretary-General Office of the Securities and Exchange Commission
) within three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the
disclosure shall be certified by the Fund Supervisor or Trustee, as the case may be and shall be made within forty-five days from the last day of each quarter. The disclosure pursuant to Paragraph 1 shall be
regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units
the government or securities regulator. “market maker” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net
trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units. “major participating investor” means any person specified in the ETF
) a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet
)1 a person who had been licensed to undertake the derivatives business in the category of Futures broker under the Agricultural Futures Trading Act B.E. 2542 (1991) as of the date when the Cabinet