dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business
securities dealing or cease to execute debt securities dealing transactions provided that the securities company had notified to the Office the ceasing of business operation or the ceasing of transaction
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
as specified in the Securities and Exchange Act B.E.2535 (1992) , the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Notification of the SEC Office regarding Approval of
prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional
exchange, as the case may be. “ clearing house ” means a clearing house for transactions related to derivatives, or a clearing house for transactions related to securities, as the case may be. “ person with
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
trust business under the Trust for Transactions in Capital Market Act B.E. 2550 (2008). The Office hereby notifies the Capital Market Supervisory Board’s resolution accordingly. Notified this 1st day of
ทรัพย์เป็นราคาที่แน่นอน (firm quotation) หรือเป็นราคาที่อาจเปลี่ยนแปลงได้ (indicative quotation) ในกรณีที่ผู้ประกอบธุรกิจเสนอราคาซื้อขายหลักทรัพย์เป็นราคาที่แน่นอน ผู้ประกอบธุรกิจต้องปฏิบัติดังต่อไปนี้ (1
shall have the following statements: (a) a warning stating that “the past performance of ( specify the name of the fund ) is not indicative of future performance.” The warning and the fund’s past