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
. 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
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
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
such products or services to clients; (c) providing an instrument or media for personnel under (a) to clarify characteristics and risks of capital market products or services to clients, as deemed
Institutions Development Fund bond and bond or debt instrument issued by the Ministry of Finance; (d) other liquid assets prescribed by the Office. “customer” means a person agreeing to receive an advice from an
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
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