any encumbrance of the company to comply with the rules governing the fund, except for the rules related to the debt-to-equity ratio, which may apply specifically to the fund. (8) having the objective

..) Liabilities 12. Borrowings 13. Securities sold under repurchase agreements 14. Payable to Clearing House 15. Securities business payable and derivatives business payables 16. Debentures and debt instruments 17

other laws: (a) securities financing business; (b) brokerage, dealing or underwriting of any securities, which is not limited to debt securities or the units ; (c) brokerage, dealing, or underwriting

; (2) “ derivatives business license type Sor-2 ” means a license to undertake derivatives business in various categories consisting of derivatives brokerage and derivatives dealing limited to debt

, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or

the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities which are not Debt Instruments dated 26 September 2000 as amended

called differently; “Market price” means price of equity instrument in securities exchange or price of debt instrument which was offered by Thai Bond Market Association, as the case mat be; “Association

Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the

. ------------------------------- Notification of the Securities and Exchange Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Securities Brokerage and Securities Dealing which are not Debt Instruments By virtue of

, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000; “Notification No. KorThor. 43/2543” means the Notification of the Securities and