Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

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

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

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand

account); (2) Derivatives position limit of customer at any time; (3) Derivatives position of customer that is still open (open interest); (4) The amount and type of asset deposited as margin or for

OTC เพียงด้านเดียว (open out right position) โดยไม่มีฐานะอื่นมาหักกลบแบบเต็มจำนวนหรือบางส่วน ให้บริษัทคิดค่าความเสี่ยงของ OTC derivatives ดังกล่าวเท่ากับ 40% ของมูลค่าสินทรัพย์อ้างอิงของสัญญาดังกล่าว

capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and

Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading

and Exchange Act (No. 4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. In this Notification: (1) “mutual fund” means a closed-ended fund and an open-ended fund; (2) “closed-ended