of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or

; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of

: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

its possession; 2. investing in or holding securities for investment by the securities company itself; 3. bearing a responsibility for the clearing and settlement for securities. (2) twenty-five million

structured note (ข้อ 5 และข้อ 7) กำหนดให้ MF PVD และPF ลงทุนในสัญญาซื้อขายล่วงหน้าและ structured note ได้ โดยในกรณี MF PVD และPF รายย่อยสำนักงานจะกำหนดหลักเกณฑ์การลงทุนเพิ่มเติม เนื่องจากเป็นการลงทุนที่มีความ

the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of the fund by trading

Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a

Capital Market Supervisory Board concerning Offer for Sale of Newly Issued Debentures in the Category of Structured Note or Debentures Imposing Obligation on Debenture Holder which are Issued by Financial

hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and