loan Proceeds from issuance of debenture and long-term debt instruments Redemption of debenture and long-term debt instruments Increase in issued and paid-up share capital Additional paid-in capital Cash

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

securities such as warrant and convertible debenture, describe the significant characteristics of such securities. For example, type, maturity, interest rate, convertible ratio and price, amount of the

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

company shall not engage in any act which result in creating, altering, transferring, reserving or terminating the right in assets of any client, without or not comply with instruction or consent from the

not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring

contract creating conflict of interest to the fund, Except that management company appoint other person to manage an investment independently by not taking part of such decision to invest. In this regard

บุริมสิทธิ (preferred share) ใบสำคัญแสดงสิทธิที่จะซื้อหุ้น (warrant) ใบแสดงสิทธิในการซื้อหุ้นเพิ่มทุนที่โอนสิทธิได้ (transferable subscription right) หุ้นกู้แปลงสภาพ (convertible debenture) ใบสำคัญแสดงสิทธิ

denominated in foreign currency in the category of debenture denominated in foreign currency and shall include units of a foreign collective investment scheme ; “ outbound product ” means a capital market

market product denominated in foreign currency in the category of debenture denominated in foreign currency and shall include units of a foreign collective investment scheme ; “ outbound product ” means a