for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1
giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand
SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case of having complied with such guideline, it shall be deemed that an
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
such instrument to receive money or other benefit. "underwriter" means any person who underwrites the sale of securities to the public. "prospectus" means any document issued for the purpose of inviting
take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker Clause 15. In this