structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption
derivatives ต้องเพื่อป้องกันความเสี่ยงเท่านั้น ไม่จำกัดอัตราส่วน (ข้อ 35(2)(ก) และข้อ 76 ประกาศ สน. 24/2552) เหมือนเดิม 2.6 structured notes product limit ≤ 25% (ข้อ 77 ประกาศ สน. 24/2552) ห้ามลงทุน (ข้อ 8/3(3
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
, exchange traded fund (ETF), property funds, structured notes and other debt securities; (c) Relevant knowledge on accounting, finance and tax such as accounting standards; (d) Knowledge on assessment or
share warrants; (2) underlying shares of derivative warrants or structured notes, or depository receipts whose underlying securities are such shares, in case of underwriting of derivative warrants or
) underlying shares of derivative warrants or structured notes, or non-voting depository receipts which have such underlying shares as underlying, in case of underwriting of derivative warrants or structured
Capital Market Supervisory Board concerning Application for an Approval of Offer for Sale of Newly Issued Securitized Bonds ; (7) structured notes; (8) debentures structured with burden on the debenture
consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or
percent of the total income respectively, and the clarification thereof is made with reference to the relevant notes to the financial statements). Product Line/ Business Group Operated by Shareholding
Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes ; (3) investment units of a mutual fund whose returns calculation is made in a complicated way (complex