upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
of Clustered Data Thai investors are classified into three clusters using investment proportions (Proportions of their money allocated to each investment type) Cash Holder 444 20% Old-Fashioned 1,573
public under Chapter 5; (6) minimum particulars required in sukuk certificate under Chapter 6; (7) registration of sukuk holder under Chapter 7. 2 Chapter 1 Application for Obtaining an Approval of the
ทรัพย จํานวนหลักทรัพยที่ถือ ณ วันที่………………….…. (วันปดการเสนอขาย / วันที่ไดรับแตงตั้ง) Name of securities holder Types of securities No. of securities held as of…….………………. (Closing date of offering
derivatives, management of derivatives business, management of customers’ assets in derivatives business or any other positions or nature of work similar thereto for which the job holder is required to obtain
issued investment units of a securities company licensed to undertake securities business in the category of mutual fund management; or (b) offered for sale by a securities holder for the first time
to equity holder of the company (10,892) 6,054 -280% (26,632) -59% (9,428) 16% Margin -2% 1% -5% -2% 2 (Unit : Thousand Baht) Separate F/S Q3/2019 Q3/2018 Δ% Q2/2019 Δ% Q1/2019 Δ% Revenues from sales
licensed firm Give advice Retail investors Licensed & regulated by Home regulator ACMF pass holder Fast-track approval Give advice Non-Retail investors Attachment is subject to host’s Laws and Regulation
signature; (2) for securities offering by a securities holder, the securities holder shall affix signature. In the case where the securities holder is a juristic person, the authorized person thereof shall
Notification: “REIT” means a real estate investment trust. “unit” means a trust certificate representing the rights of the holder as a beneficiary of a REIT. Clause 2 Before entering into transactions arising