lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment
company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means
disclosed the names of the customers or suppliers to other persons such as investors or securities/investment analysts, such information shall be included in the annual registration statement to ensure equal
. 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
securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a
or securities/investment analysts, such information shall be included in the Registration Statement to ensure equal information for all. 3. Risk factors Identify significant risk factors including the
service, the expenses or income arising from the investment advisory service and the derivatives advisory service shall be included in the calculation for the maintenance of capital under Paragraph 1(2) or
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are