Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section

and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange

; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this

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

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

services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified

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

instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units

the Derivatives Act B.E. 2546 (2003), the Securities and Exchange Commission hereby issues the following regulations: Clause 1. The person who undertakes, for itself, in offering for sale or purchase of