and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992) as amended by the Securities and Exchange Act
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
period; (2) in case such person has been vacated from the approved position due to any cause other than being revoked the approval by the SEC Office such as the expiration of the term of office and such
of the company being held; (3) ”securities” means shares, debentures, bills, sukuk, share warrants, debenture warrants, derivatives warrants and depository receipts ;” (4) “securities underwriter
the following characteristics: (1) being a product issued or offered for sale aboard, and the issuer or the offeror has no intention to offer such product in Thailand; (2) being a product with the
following conditions and does not relate to shares being granted an approval from the Office for initial public offering for the purpose of listing such shares in the Stock Exchange or non-voting depository
per share. In case of having other securities listed elsewhere, identify the name of the Stock Exchange. (2) In case of having other types of share such as preferred share whose rights or terms differ
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade