retrospective value correction report under (1), unless such closed-end fund is registered with the Stock Exchange of Thailand and has announced the correction of the unit value in accordance with the rules or
) short sale of securities which are equity instruments listed on the Stock Exchange or registered with at the securities trading center in compliance with the rules prescribed by Notification of the Stock
Exchange of Thailand, a securities company shall comply with this Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company may engage in short selling of ETF
. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of
. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of
various securities businesses which shall be subject to only one notification specifying rules of approval for investor contacts and standards of conduct. By virtue of: (1) Clause 10 of the Notification of
virtue of paragraph one and paragraph three of Clause 12 of the Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of