Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
Exchange Commission No. SorThor. 25/2550 Re: Prescription of the Rate or Value of Property Deposited as Margins _____________ By virtue of: (1) Clause 1(9) of the Notification of the Securities and Exchange
investment in commodity-linked derivatives or instruments; (e) investment units of a mutual fund of which the investment policy allows to invest in non-investment grade more than 60 percent of net value asset
the Exchange or foreign exchange shall be at the rate of 0.001 percent of the trading value, calculated according to the following methods: (a) in case of licensees being members of the Exchange or
objective of each client . “ investment analyst ” means a person providing investment consultation to investors and being allowed to analyze investment, relating to the value and appropriateness for trading
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
the rate of 0.001 percent of the trading value, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the following items: (a) the trading value derived from
intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association
…………………………… In offence relating to.……………………………………………. Under the law……………………………………………………. Punishment ……………………………………………… Completion date of punishment………..… (attachment) (if any) O No (2) Was convicted by the final