) in case of using a sign or other symbol in rating mutual fund , such sign or symbol must not be contrary to the law or pubic order; (6) in the case where the investment advisory company intends to
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
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
securities company or derivatives intermediary, excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “ client ” means a person who uses
the service providers are as follows: (1) The Stock Exchange of Thailand or; (2) Limited company or public limited company established by the Stock Exchange of Thailand and hold shares not less than
client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
regulations of the Stock Exchange of Thailand. Clause 4. The management company shall be responsible for various expenses incurred from the incorrect unit value, e.g., expenses in placing an announcement of
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
Exchange of Thailand, a securities company shall comply with this Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company may engage in short selling of ETF