Comments on: “Trading costs on the Stock Exchange of Thailand” Authors: Charoenwong C., Ding D.K., Jenwittayaroje N. Comments on: “Risk-taking behaviour during downturn: evidence of loss-chasing and
: 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
( Translation ) Ref. No. HARN 011/2019 14 November 2019 Subject: Notification about Related Parties Transaction To: Director and Manager The Stock Exchange of Thailand (“the SET”) The committee of
World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
Shipping insurance Selling price to end- customer Terms & Conditions Supplier Retain legal title - Determine the prices - Have physical possession with a right to return unsold/obsolete items to supplier
securities and exchange means Securities and Exchange Act B.E. 2535 (1992) 2 “underlying shares of ETF” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign
” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a list of asset that an investor would be able to exchange
Determination regarding Definition of Institutional Investor and High Net Worth Investor. “client” means user of an intermediary’s services. “Stock Exchange” means the Stock Exchange of Thailand. “derivatives
clients through a member of SET (4) brokerage, dealing or underwriting of debt securities and sukuk. “SET” means the Stock Exchange of Thailand; “unit” means an investment unit of a mutual fund, certificate