represent entitlement in assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives

representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s

communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has

securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2. This Notification shall apply to securities underwriting made for a

securities business in the category of mutual fund management; (15) “Stock Exchange” means the Stock Exchange of Thailand. Clause 2 This Notification shall apply to securities underwriting made for a

must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore, any

client who wishes to invest in capital market products by exercising the subscription right as a shareholder of a listed company on the Stock Exchange of Thailand in concurrent compliance with the

invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading

concerning Investment of Funds. Clause 8 To protect investors and fair treatment for their entitlement, and to ensure the uniformity of operating standards, the SEC Office shall have the power to issue rules

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