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
Clause 3; “ fee ” means a fee for undertaking business according to license; “ income ” means an income before deducting expenditures from undertaking business according to license; “ investment unit ”4
Investment Units of Closed-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange Commission No. KorNor. 46/2541, Re: Rules, Conditions, and Procedures for
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
Management Companies against the Incorrect Selling Price or Redemption Price of Investment Units of Open-End Funds _____________ By virtue of Clause 26/1 of the Notification of the Securities and Exchange
consultant under a signatory member of the Memorandum of Understanding on the ACMF Pass under ASEAN Capital Market Professional Mobility Framework: (a) shares listed on an ASEAN stock exchange; (b) investment
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
margin account shall comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on Investment Analysis and Consultation
regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing
Investment Advisors and Appointment of Investment Advisory Agents dated 14 September 2001 as amended by the Notification of Securities and Exchange Commission No. KorKhor. 20/2548 Re: Rules, Conditions and