139(4) of the Securities and Exchange Commission Act B.E. 2535 (1992) as amended by the Securities and Exchange Commission Act (No.2) B.E. 2542 (1999) which contains certain provisions in relation to
, time or the period when the award was granted; 3. name of the institution giving the award or rank; 4. statement as referred to in Clause 8(1)(a) and (b); (2) In case of advertisement related to ratings
deemed appropriated to issue this Notification. Qualifications of the Applicant for Approval of Category A Investor Contact As referred in the first paragraph of Clause 4 of the Notification of the SEC
related businesses and rules and regulations with respect to investor contacts as specified in the table of qualifications of applicants for approval for category A investor contact and category B investor
trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
management who are responsible for the line of work relating to being fund supervisor may control over its management as a representative of such juristic person. “Office” means the Office of the Securities
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act (No.2) B.E. 2542 (1999), which contain certain provisions relating to the restriction of rights and liberties of persons which
permits by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person granted a license to undertake derivatives business in the category of
approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the