/2551 Re: Securities and Derivatives Trading for Derivatives Broker _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) as amended by the Derivatives Act (No. 2) B.E. 2551 (2008
. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of the fund by trading
relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or
หน่วยลงทุนและการจัดการกองทุน (Fund Service Platform) สำนักงานขอนำส่งภาพถ่ายประกาศจำนวน 2 ฉบับ เพื่อกำหนดหลักเกณฑ์ การให้ความเห็นชอบผู้ให้บริการระบบสนับสนุนงานที่เกี่ยวข้องกับการซื้อขายหน่วยลงทุนและ การ
Exchange Commission No. SorThor/Nor. 19/2550 Re: Application Form for Approval of Agricultural Futures Trading Business by Operators of Derivatives Business _____________ By virtue of the second paragraph of
of providing a self-service platform for customers through the use of communication equipments or computer while the office of securities company is closed , such securities company shall open 24 hours