; “ securities company ” means a securities company which obtains the securities business license in the following categories, but exclude a securities company being a commercial bank under the Law on Financial
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
Stock Exchange of Thailand; “ investment unit ” means: (1) The investment unit specified under the Law on Securities and Exchange ; (2) A financial instrument or certificate representing the right of the
of securities brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following
and attending the meeting is required. The votes under (4) of the first paragraph shall exclude the units of the unitholders with an interest in the transaction. Chapter 3 Disclosure of Information
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
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
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
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or