. 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

comply with such rules. In case those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the

categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt

those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the intermediary shall have measures

, clarify the results of the implementation of such plan as well; - In case of issuance of debt securities with an obligation to maintain financial ratios, clarify whether or not such obligation has been

requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and

Commission No. KorThor. 42/2543 Re: Rules, Conditions and Procedures for Brokerage and Dealing of Securities That Are Not Debt Instruments dated 26 September 2000, and Clause 25/1 of the Notification of the

classifying information according to organization’s classification scheme and establish the operating procedures for each level of classified information; (9) define information security requirements

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically

3 of Derivatives Act B.E. 2546 (2003) and the notifications of the SEC related to additional determination of type of juristic person classified as institutional investor. (4) “derivatives exchange