Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

the first refresher course relating to securities and exchange laws, relevant rules and regulations and ethics and professional standards administered by an association or a training institute

other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification

cause any conflicts of interest with the management of mutual funds; (2) Having attained the age of twenty; (3) Having passed the fundamental knowledge examination for professionals administered by a

instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9

the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person who undertakes, for itself, in offering for sale or purchase of

obliged to purchase according to the securities underwriting agreement; (2) the statement under (1) shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or

, of the person preparing such article or research paper in the underwritten securities, including the amount of securities which the securities underwriter is obliged to purchase according to the

fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company