; (6) Being an incompetent or quasi-incompetent person; (7) Being a person whose name appears on the list of persons considered by the Stock Exchange of Thailand to be unsuitable to act as an executive
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
Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake
the arbitrator who ranks first in the claimant’s selected list; (3) in cases where the respondent intends to challenge all of the three arbitrators in the claimant’s selected list because there is a
authorized to make decisions on company’s business operation on behalf of the board of directors; “Department director” means any person who is responsible for the internal operation of a department in the
Thai NVDR มีการลงทุนใน บจ PAGE 11 เอกสารเผยแพร่ เลขที่ อจ. 6/2546 เรื่อง แนวคิดในการจำกัดจำนวนหุ้นรองรับใบสำคัญแสดงสิทธิที่จะซื้อหุ้น (warrant) และการแก้ไขข้อกำหนดอื่นๆ เอกสารฉบับนี้ได้จัดทำขึ้นโดยมี
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
advertisement referred to in Clause 6(1) and (2) to be granted an approval from the Office, it shall comply with the following conditions: (1) must be an advertisement for any of the following funds: (a) a fund
of directors and executives of a securities company; (2) “Investor Contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of