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
foreign Stock Exchange; (b) the trading value of debt securities. (4) the license fee for non-members of a foreign Stock Exchange who undertakes securities brokerage business on such foreign Stock Exchange
Commission No. KorNor. 15/2543 Re: Rules, Conditions and Procedures for Approval of Private Fund Custodian, dated 4 April 2000, the Office of the Securities and Exchange Commission hereby issues the following
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
(Unofficial Translation) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. 4 Notification of the Securities and
public; (3) “ issuer ” shall include the promoters of a public limited company; (4) “ conglomerate company ” means a parent company and a subsidiary company ; (5) “ underwriter ” means a securities company
company; (b) trade units listed on SET for clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “ SET ” means the Stock Exchange of Thailand; “ unit ” means
and Section 50 of the Derivatives Act B.E. 2546 (2003) , Clause 5 of the Notification of the Securities and Exchange Commission No. Kor Thor. 4/2561 Re: Maintenance of Capital of Investment Advisors and
Company Limited Statements of changes in shareholder’s equity For the period of… ……………until…………………...20.. and ......20... Consolidated financial statement (Unit:Baht) Ordinary share Stock rights and
Thailand, or a limited company or a public limited company established by the Stock Exchange of Thailand which holds its shares not less than seventy-five percent of the total issued shares; (4) support