services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
categorized by the types of goods and variables: (1) price quotation and trading volume; (2) trading price; (3) trading volume; (4) open interest. Clause 12 A derivatives exchange shall create a system for
cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading account, a contract or any other agreement, in
concerning Investment of Funds; “business day” means a day on which management companies are open for normal business; “Stock Exchange” means the Stock Exchange of Thailand; “provident fund with multiple
a temporary trading suspension of listed securities of PTT Public Company Limited as a result of the Supreme Court of Thailand’s ruling on PTT Public Company Limited to be given on 14 December 2007
$(#" !K)O#" ')'#+" (off exchange) KL • (#S#$+].'* %$+M$#"bML")'#+" O%!`*&%\')'#+"#%L (open access) 'P* %$," ()* exchange (direct market access) O* !L regulator #L(.'"," %()*+$.%(.%' trading venues
Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the
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
Securities and Exchange Commission No. Sor Thor. 15/2558 Re: Rules in Detail related to Proprietary Trading of Intermediaries ___________________ By virtue of Section 98(7)(b) of the Securities and Exchange