established under which the parent company shall allocate liquid and low-risk assets to secure its performance of such commitment (explicit guarantee); (3) being able to show its capability to operate as a
by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of
Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No. 4) B.E
Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange
diligence concerning:1. Information on counterparty that may have relationship with issuing company. As such counterparty was being under criminal proceedings by public authority, the result may impact the
application for offer for sale of REIT units; (3) being under a criminal complaint or legal proceedings for an offense related to property by a relevant authority on the ground of acting deceitfully
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)
Registrar under Regulatory Sandbox