and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs
following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This
representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s
. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established
Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification, “investment advisory company” means a securities
Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr
Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
securities, the terms “ warrant ” “ execise of rights under warrants ” “ institutional investors ” “ registration statement ” “ parent company ” “ subsidiary company ” “ executive ” “ major shareholder ” and