selling ” means selling securities without possessing securities. “ ETF units ” means investment units of ETMF or units of foreign ETF . “ units of foreign ETF ” means shares of investment company or unit
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
; (3) “securities” means shares, bonds, bills, sukuk, share warrant, bond warrants, derivative warrants, certificates representing interest from Thai securities underlying and REIT units; (4) “securities
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person
; “Affiliated companies” means the followings companies: (1) Any company who holds shares of management company or employer, as the case may be, from ten percents of total shares sold of management company or
commitment or the fund project without any delay. Division 2 Allotting and Offering for Sale of the Fund Units _______________ Clause 24/1 2 In this Division: “ listed company ” means a company whose shares
Section 4 Securities and Exchange Act B.E. 2535 Section 4. In this Act "securities" means (1) treasury bills; (2) bonds; (3) bills; (4) shares; (5) debentures; (6) investment units which are
brokerage, dealing or underwriting of investment units; (2) “Derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker under the law on derivatives
Company has shares or convertible securities as an underlying securities for issuance of investment units of mutual funds for foreign investors (Thai Trust Fund) and the Non-Voting Depository Receipts (NVDR
lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment