Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds
undertake securities business; “Full-service Branch Office” means a securities company’s branch office in Thailand that provides services within the scope approved for such securities company. “Online Branch
law and later obtain a license to undertake derivatives business; “Full-service Branch Office” means a derivatives broker’s branch office in Thailand that provides services within the scope approved for
client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified by the clearing house or
offering, or the rules, conditions and procedures for share offering of a limited company in accordance with the Civil and Commercial Code in a general case or to the general public, as the case may be. In
business under Clause 1(4)(l) with the investment value of each business within the multi-infrastructure businesses being not less than five hundred million baht; however, such investment value does not
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the Notification on Standard Conduct of