shares allocated to the persons in each group; (c) keep documentary evidence or information supporting the reason for allocating shares to any persons in the value of one hundred million baht or more at a
allocated to the persons in each group; (c) keep documentary evidence or information supporting the reason for allocating shares to any persons in the value of one hundred million baht or more at the main
having duty as prescribed in the second paragraph of Clause 3(2)(a) shall keep evidentiary documentation or information supporting the reason for allocating shares to any person in the value more than 100
sufficient securities, in case the securities company or its client has not yet received ETF units or underlying shares of ETF from purchasing order. Clause 8 A securities company shall keep the information
broker as follows; (a) A securities company that holds not less than seventy-five percent of total sold shares of such derivatives broker; (b) A securities company having a commercial bank holds not less
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3
person with regard to the purpose of investment, financial position and desire of such person; “related company” means (1) a company holding shares of twenty percent or more of all voting right shares of
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