reasonable suspicions, the SEC Office may reject the application: (1) an applicant or an offer for sale of bonds has the characteristic or meets the rules or conditions to obtain an approval according to this
) general information of the intermediary ; (2) characteristic, scope and condition of a service proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4
the services: (1) general information of the intermediary; (2) characteristic, scope and condition of a service proposed to the client; (3) channel for providing [or accessing to] the service and for
fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual
plan for establishment of the fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In
underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short selling by means of entering
units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short
account: (a) there shall be [i] an asset for exchanging with the ETF units or [ii] the ETF units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of
than one million Baht and not less than seven percent of the general liabilities and collateral (if any): (a) not keeping the client’s assets in its possession; (b) not having investment in or holding