: (1) “bond” means a secured bond, an unsecured bond, a convertible bond, a structured note or a subordinated bond, whether or not the issuer provides a bond holder representative; (2) “secured bond

Specific Characteristics ______________________ Division 1 Mutual Fund Investing in Derivatives or Structured Notes _________________________ Clause 16 The provisions hereunder shall apply to the following

;เจ้าพนักงาน”) ก่อน3.3 กรณีบริษัทหลักทรัพย์ต้องการทำธุรกรรมลงทุนในตราสารต่างประเทศเพื่อบริหารความเสี่ยงจากการออก structured note หรือจากการทำธุรกรรมอนุพันธ์ที่อ้างอิงตัวแปรต่าง

short-term structured notes in accordance with the Notification of the Capital Market Supervisory Board concerning Application and Approval for Offer for Sale of Structured Notes shall be filed in

transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there

derivatives transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk

prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC

repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including

repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including

include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international