: 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
results in an offsetting of the position or by any other means under the rules of a derivatives clearing house. “securities” means securities under the Securities and Exchange Act. “Stock Exchange” means
securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2 This Notification shall apply to securities underwriting made for a
: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of
members of the Stock Exchange, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the trading value of debt securities; (3) the license fee for members of a
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
, rent or rendering service or management, such as computer software, lease rights, a license pending writing off, membership fee of The Stock Exchange of Thailand pending writing off etc.. 11. Other
securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a