baht for mutual fund or private fund management business whose business does not fall under (1)(c)1, 2 or 3; (3) ten million baht for mutual fund or private fund management business that provides service
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
, which does not fall into the prohibited underwriting under Clause 3, such securities underwriter shall also disclose a relationship between itself and such person to investors; (7) notify a related
(Ramadan Day) announced by the Sheikhul Islam Office if it does not fall on any of the holidays listed above or Saturday and Sunday. Notified this 31st Day of August 2007. - Signature - (Mr. Thirachai
persons, which does not fall into the prohibited underwriting under Clause 3, such securities underwriter shall also disclose a relationship between itself and such person to investors; (7) notify a related
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
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
company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of
an equity of the balance interest of the invested business, such as share capital, investment units of mutual fund, share capital warrant and share capital purchasing right etc.. The company shall