. 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
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each of or overall capital market products ; (2
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
sharing knowledge, making understanding or notifying facts relating to capital market, investment, manufacturing and service sectors, or overview regarding each or overall capital market products ; (2) the
means the following securities: (1) the investment unit specified under the Law on Securities and Exchange ; (2) a financial instrument or certificate representing the right of the holder as the owner or
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
significant terms such as the right to put and call options; (2) In the case where the Company has debt securities such as debenture and negotiable instrument, describe the significant characteristics of such
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial