Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and
investor of similar characteristic as the persons defined under section 3 of the Derivatives Act, B.E. 2546 (2003) or those mentioned in subsection (1) to (9) mutatis mutandis . Clause 2. This Notification
of more than 75 percent of all voting shares; (12) a foreign investor of similar characteristic as the persons defined under Section 3 of the Derivatives Act, B.E. 2546 (2003) or those under (1) to (11
appointed the following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel , it shall be
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
executive of a securities company possesses any prohibited characteristic, the Office shall proceed in accordance with the rules and procedures specified in the Notification of the Securities and Exchange
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner
characteristic instruments) หมายถึง อนุพันธ์ตาม 1.3 ที่ไม่เข้าข่ายข้อใดข้อหนึ่งดังที่กล่าวมาแล้วข้างต้น 2. ตราสารหนี้และตราสารที่อ้างอิงกับอัตราดอกเบี้ย (Debt and Interest Rate-Linked Instruments) หมายถึง ตราสาร
หนึ่งของสัญญาผูกกับสินทรัพย์อ้างอิงที่เป็น ตราสารทุน กลุ่มตราสารทุน หรือดัชนีตราสารทุน ทั้งนี้ ตามระยะเวลาและวิธีการที่กำหนดไว้ล่วงหน้าในสัญญา 1.3.4 อื่น ๆ (non-standard characteristic instruments) หมาย