Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
) Shareholder equity in amount of……………….….………….…Baht 2. Information of prohibited characteristics: 2.1 Up to present; (1) Is a person whose name is on the black list or the list of persons whom the Stock Exchange
In case of the death of independent director, resign or terminate by the SEC office or where Derivatives broker is a part of financial conglomerate which has share holding structure, examination of
for Permission and Granting Permission to Management Companies to Establish a Branch Office, dated 22 May 2007, the Office shall take into account the following matters: (1) shareholders’ equity of the