securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the Office of the Securities
) proceeds remain from the sale of client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall
from the sale of client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a
and settlement purpose, or which a derivatives broker received for or on behalf of a client for clearing and settlement of a client’s derivatives transaction; (e) proceeds remain from the sale of
enterprises under foreign laws; (4) debt instruments issued by foreign private entities that instruments or issuers are investment grade; (5) non-listed securities offered for sale to the public with a concrete
during the course of business undertaking; (7) “ investor contact ” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment
business undertaking; (7)1 “investor contact” means any person who performs duties in contacting, soliciting, giving advice or planning related to the purchase or sale or investment in securities for
ETF; (b) receiving notice, order, warrant or any document on behalf of ETF operator or foreign ETF. Clause 4 Any person intending to make an offer for sale of units of foreign ETF in Thailand in a