supplementary documents for registration as prescribed by the law governing such category of asset. Clause 3. The securities registrar shall have a service contract with clients available in at least two copies
No. 23) (Repealed) Concerning Approval on Undertaking of Securities Business in the Category of Mutual Fund Management B.E. 2545 (Repealed) Concerning Approval on Undertaking of Securities
August 2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “ derivatives broker ” means any person licensed to undertake derivatives business in the category of
2009, the SEC Office hereby issues the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
and exchange1. “foreign ETF” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “short selling” means selling securities
ETF. “ETMF” means exchange-traded fund in form of mutual fund under the law on securities and exchange1. “foreign ETF” means a collective investment scheme in the category of exchange-traded fund either
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on