, purchase on the Stock Exchange, over-the-counter purchase, acceptance of securities transfer, and receipt of returned securities from the borrower, etc. กรณีการจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าให้ระบุ

shall perform only the following duties: (1) acceptance of request from customer to open an account so as to forward the request to a branch office or head office for approval; (2) acceptance of purchase

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

and Exchange Act, then a license from the SEC is required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification

shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain

securities or assets in which the mutual fund invests, risks relating to the investment, types of investment units, procedures for purchase and sale of investment units, the relevant fees or expenses. This is