Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of
under other laws where the establishment of a branch office of such company shall be made under such laws as specified under the third paragraph of Section 92 of the Securities and Exchange Act B.E. 2535
is a financial institution established under other laws where the establishment of a branch office of such company shall be made under such laws as specified under the third paragraph of Section 92 of
for an approval under this Notification except for the case of an offer for sale of newly issued shares in Thailand which will have the characteristics under Clause 7: (1) a foreign exchange where the
in the category of exchange-traded fund established under the law of foreign jurisdiction; “home exchange” means an exchange in a foreign jurisdiction where the units of a foreign ETF are listed. In
documents or evidence filed with the SEC Office under this Notification shall always be prepared in the same language for the subsequent filing except where it is necessary and expedient otherwise and a
transaction with the best execution for the fund or being vital and beneficial to the fund at that particular time; (2) being an at arm’s length transaction; and (3) in cases where such transaction is cross
cases where such transaction is cross-trading between mutual funds under the same management company, the transaction shall have the following characteristics: (a) being a transaction which is appropriate