of Thailand issued regulations and supervised business operation of securities companies. The Stock Exchange of Thailand oversaw members’ operation pursuant to the rules drafted by the Bank of Thailand
; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
means any legal entity obtaining the license to undertake securities business which is not: (1) any legal entity supervised by any other governmental agencies before obtaining securities business license
inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a
inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2. Placing a
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
. ● Documents relating to settlement / cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for