sale by a parent company or a subsidiary company of the securities underwriter; (2) non-voting depository receipts which have shares as underlying, issued or offered for sale by a parent company or a
aggregate income of all such mufti-infrastructure businesses. (5) “company” means a limited company or a public limited company; (6) “alternative energy” means a business that generates energy from non
line ทั้งหมด 010100|0800|900|300 -> 5. ยอดรวมทรัพยสิ์นส่วนเกิน (excess equity) 010100|0400|1000|65 -> 3. ยอดเงินใหกู้ย้มืคงคา้ง (margin loan) รูปท่ี 2 : ไฟล์ “ข้อ1_รายละเอียดลูกค้า_(1).txt” ข้อสังเกต
วางหลกัประกนั การค านวณ Excess Equity การบงัคบัขาย เป็นตน้ (2) ตอ้งไม่ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) ส าหรับการปฏิบติัหนา้ท่ี ของผูบ้ริหาร ผูจ้ดัการกองทุน และกรรมการในคณะกรรมการลงทุน
prescribed in sub clause (a) and (b). Clause 8 In case of underwriting of shares or non-voting depository receipts which have shares as underlying, a securities underwriter shall not make an allotment to a
shares or non-voting depository receipts which have shares as underlying, a securities underwriter shall not make an allotment to a subsidiary company of the issuer of such shares or underlying shares
exceeds the due amount and the securities company has already returned the excess money to the client within five working days from the date of receipt of such money; (c) money received from securities sale
securities purchase transactions; (b) money paid by a client for securities purchase transactions which exceeds the due amount and the securities company has already returned the excess money to the client
sector’s growth slowed down and private investment slightly dropped. However, private consumption continued to hold up, partly due to improvements in non-farm income and government measures to support low