. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other

the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board

exceeding one year and shall not have any restriction on selling or transferring before maturity; (3) investing in debt instrument avaled in full amount or unconditionally guaranteed by the Ministry of

person bound to make repayment under a financial instrument as an issuer, drawer, acceptor, giver of aval, endorser, or guarantor, as the case may be. “ unit of collective investment scheme ” mean a unit

reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of

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

time to maturity not exceeding one year and shall not have any restriction on selling or transferring before maturity; 3. investing in debt instrument avaled in full amount or unconditionally guaranteed

; (c) the information for consideration of clients’ ability in part of investment, debt repayment and pledging collateral, as well as clients’ ability to perform in respect of any servicing agreement

invests in both shares and debt instrument issued by such listed company, additional procedures in the case where the vote is against the offer of the management of the listed company. (c) Rules of practice

company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of