. 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

system for trading capital market products , if such persons have breached or failed to comply with the regulations prescribed by the Stock Exchange or the derivatives exchange and such regulations is the

concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of

ทะเบียนที่มีการซื้อขายใน TFEX (stock futures) หุ้นกู้ที่มีอนุพันธ์แฝง (structured debenture) คู่สมรส หรือผู้ที่อยู่กินด้วยกันฉันสามีภริยา/ Spouse / cohabiting couple ชื่อ / Name หุ้นสามัญ (common share

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

the Securities and Exchange Commission No. Sor Thor 13/2557 Re: Rules in Detail related to Maintenance of Ongoing Capital Adequacy and Provisions in Case of Intermediary Having Failed to Maintain Such

.: _____________________________ In case the ARFP Passport Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF), please state the names of market maker

Fax No.: _____________________________ In case the Hong Kong Covered Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF

invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading

comply with requirements of this Notification; (5) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this