only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF
(“selling agent”) สามารถกำหนดข้อตกลงร่วมกันในเรื่อง cut off time โดยระบุ ความรับผิดชอบระหว่างกันไว้ เช่น บลจ. และ selling agent สามารถใช้ cut off time เดียวกัน หากมีข้อตกลงร่วมกันที่จะให้คำสั่งซื้อจากผู้ลงทุน
translation is strictly for reference. 5 Notification of the Office of the Securities and Exchange Commission No. SorJor. 21/2541 Re: Reporting the Results of Selling Securities to the Public
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
analysis of securities value; (e) Knowledge on enhancement of supporting skills or level of service quality to customers (soft skills) such as customer advising technique, etc. 2.2 Knowledge on rules
. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit
Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and
; (2) in calculating the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual funds and the number of units of provident funds
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
Clause 5(6) shall pay a separate fee as derivatives selling agent at an amount not less than 25,000 baht per year and not more than 1 million baht per year. In the case where a licensee has suspended the