examination together with documents and evidence in full. In examining the characteristics of the units of foreign ETF, the SEC Office may instruct the applicant to make clarifications in person or submit

which is suitable for their objectives. Guidelines 1. There should be an assessment of capability in establishment of a fund in accordance with the relevant laws and related notifications by examining the

category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a securities offeror who is obliged

management company” means a securities company licensed to undertake securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This

Securities ____________________ Clause 16 In this Division, “listed securities” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. 3 The law on derivatives

; “central securities depository” means any central securities depository according to the Law on Securities and Exchange; “Stock Exchange” means the Stock Exchange of Thailand according to the Law on

securities trading system and other relevant systems of the Stock Exchange. Meanwhile, an information technology system is necessary for securities clearing houses and central securities depositories to

or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining

and Allocation of Securities to the Specific Investor (Private Placement) (Amendment 2) To The President The Stock Exchange of Thailand Attachment 1. Information Memorandum regarding the Acquisition of

Allocation of Securities to the Specific Investor (Private Placement) (Amendment 3) To The President The Stock Exchange of Thailand Attachment 1. Information Memorandum regarding the Acquisition of Assets and