representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s
acknowledgement of procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such
behaviors materially influence the management policy making or the Company's operation (for example, assigning a person to be an authorized director). If the shareholders identified above do not represent the
contract creating conflict of interest to the fund, Except that management company appoint other person to manage an investment independently by not taking part of such decision to invest. In this regard
entity gives consent thereto, the SEC may specify that such entity shall have the joint duty and responsibility with the securities issuing company in disclosing useful information for decision making of
contract entered into with or through a derivatives business operator, a derivatives exchange or a derivatives clearing house shall constitute a contract having a legal binding and creating an obligation
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
into exchanging in-kind for making delivery; (b) there has been an order to purchase units of foreign ETF while placing short selling order, in case of short selling of ETF units by means of purchasing
มั่น Trader / ค้าหลักทรัพย์ Trader / ค้าหลักทรัพย์ บัญชี day trade บัญชี pair trade 55035 56074 บัญชีในกลุ่ม Market Making (ตัวอย่าง)1.ชาติไทย ไพรศรี 2.ศรีพงศ์ รองเรือง Trader / ค้าหลักทรัพย์ Trader
is granted prior to making such transaction. Nevertheless, this provision does not include the case where the mutual fund intends to purchase shares of the mutual fund management company, which is