of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to
therefore he is required to make margin deposit with a derivatives agent to secure his/her performance under the options similar to the case of futures trading. With an unfavourable movement in the market
Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
customer fails to do so within such period of time, the derivatives business operator may sell the securities held for the account of such customer in the market where such securities are normally traded. If
capital market products, or capital market products traded on the Stock Exchange of Thailand or derivatives exchange, the intermediary may reduce details in methods and procedures of the communication and
subject to a foreign law whereby measures for investor protection are prescribed in a similar manner to the measures prescribed in the notification of the SEC, or may allow such company to act differently
Securities ____________________ Clause 16 In this Division, “ listed securities ” means securities which have been listed or approved to be traded on the Stock Exchange of Thailand. Clause 17 For the purpose
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
กำหนดไว้ดังต่อไปนี้ ข้อ 1 ในประกาศนี้ “กองทุนรวมอีทีเอฟ (exchange traded fund)” หมายความว่า กองทุนรวมเปิดที่ โดยทั่วไปบริษัทจัดการกองทุนรวมจะขายและรับซื้อคืนหน่วยลงทุนกับผู้ลงทุนรายใหญ่ และจัดให้มี ตลาด
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock