Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries _____________________________ By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of
. Notification of the Capital Market Supervisory Board No. TorThor. 31/2556 Re: Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
damages and lead to disputes or complaints, which undermines investors? confidence in the Thai capital market as a whole. Moreover, the SEC does not encourage investor contact to take trading orders through
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
identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment units of an
in big volumes. Such trading manipulation took place during 10-27 September 2013, causing YCI price and trading volume to be inconsistent with the normal market condition. The wrongdoing was assisted