and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
Section 90 Securities and Exchange Act B.E. 2535 Section 90. Securities business can be undertaken only by formation of either a limited company or a public limited company, or by a financial
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
Section 81 Securities and Exchange Act B.E. 2535 Section 81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report
securities company. O other cases (please specify)……………………….………... O no 6.8 Being a manager or a person with managing power of a partnership or a limited company in which he or she or the person or partnership
Exchange Commission No. Kor Thor. 7/2539 Re: Shareholders’ Structure and Shareholding Proportion of a Limited Company or Public Limited Company Which Is Established to Undertake Securities Business in the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 16. A derivatives business operator shall be a limited company or a public limited company, except for a derivatives advisor which may be an
plan with the public. 6.2 Recording of the details of the incident, cause of problem and the resolving measures. 3.3.8 Proxy Voting Objective A management company shall have a system on proxy voting to
which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the