offering having purpose to register the shares as listed securities on the Stock Exchange of Thailand, the offeror shall report by using the Form 81-1-IPO as provided on the website of the SEC Office ; Other
limited to units which: 1. has securities portfolio; 2. provides services of trading investment units , registered as listed securities, for clients through a member of SET . (9/1) “ SET ” means the Stock
assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
under the regulations of the Stock Exchange of Thailand; (8) Being accused or prosecuted under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
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
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
results in an offsetting of the position or by any other means under the rules of a derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means
involved with the audit of an entity whose securities are publicly traded in stock exchange in your jurisdiction as either Signing Partner or Engagement Partner or equivalence? Yes No If yes, please attach
, purchase on the Stock Exchange, over-the-counter purchase, acceptance of securities transfer, and receipt of returned securities from the borrower, etc. กรณีการจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าให้ระบุ