the periods of time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within the following business day of
under Clause 25 to clients within the periods of time as specified in the following subclauses: (1) in case of transaction in respect of trading shares, the confirmation statement shall be sent out within
into force from 16 August 2006. Clasue 2. The following shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission No. SorNor. 44/2541 Re: Rules on Affiliated Transaction
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
broker as follows; (a) A securities company that holds not less than seventy-five percent of total sold shares of such derivatives broker; (b) A securities company having a commercial bank holds not less
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
specify under Clause 18 (1) of the Notification on Standard Conduct of Business ; (3) a person of whom a management company could be aware that if the management company enters into a transaction for a fund
is granted prior to making such transaction. Nevertheless, this provision does not include the case where the mutual fund intends to purchase shares of the mutual fund management company, which is
office, type of business, company license number, telephone number, facsimile number, home page (if any), amount and type of the total sold shares of the Company; (2) Name, head office, type of business
securities / derivatives holder ประเภทหลักทรัพย์และสัญญาซื้อขายล่วงหน้า Types of securities and derivatives วันที่ทำรายการ Transaction date จำนวนหลักทรัพย์และสัญญาซื้อขายล่วงหน้า ที่ถือก่อนวันที่ ทำรายการ No