hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person
. 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
an investment advisory company; (2) a company of which an investment advisory company holds shares of twenty percent or more of all voting right share; (3) a company having a shareholder who holds
derivatives investment advisory on the condition that the person giving advice and the owner of the website or any other electronic media do not collaborate or share duties with the other party to avoid
margin account shall comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on Investment Analysis and Consultation
units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case
capital market products which are shares or share warrants of a company wherein the client is an existing shareholder as of the investment date or the date of obtaining the shareholders’ rights; (4) a
regulations under Chapter 2; (2) engagement in agreements with clients prior to providing services shall comply with the regulations under Chapter 3; (3) provisions of investment analysis and providing
Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as
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