. In this regard, the securities company shall comply with the rules prescribed by the Office and shall supervise the investor contacts to perform the duties in accordance with the rules prescribed by
Exchange of Thailand, a securities company shall comply with this Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company may engage in short selling of ETF
underlying shares of ETF in the Stock Exchange of Thailand, a securities company shall comply with this Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company
units; (2) underlying shares of ETF. 2 Ibid FN1. 3 Clause 4 For short selling of the ETF units or underlying shares of ETF in the Stock Exchange of Thailand, a securities company shall comply with this
related to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business
to securities or an issuing company. Clause 3 The rules in detail under this Notification are prescribed in order for intermediaries to comply with the Notification on Standard Conduct of Business in
to comply with the agreement under HK-TH MRF MoU properly, the SEC would like to provide clarifications as follows: (1) Thai AMC applying for an expedited review of application for the establishment of
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c) allow its business to be conducted with