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

so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the

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

fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

: “Management company” means a securities company licensed to undertake securities business in the category of mutual fund management. “Closed-end fund” means a mutual fund which does not accept the redemption of

Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities

: (1) arrange to have a computer set where customer can submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head

following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward

the following requirements: (a) accept trading orders of capital market products only at the intermediary’s temporary office; (b) require clients to send trading orders by themselves through an

. กองทุนรวมผสมยืดหยุ่น (Flexible Portfolio Fund) คือ กองทุน รวมที่สามารถลงทุนในหลักทรัพย์หรือทรัยพ์สินประเภทต่างๆ ได้ทุกประเภทเช่นเดียวกับกองทุนรวมผสม แต่ไม่มีข้อจำกัดเรื่องสัดส่วนการลงทุนในตราสารทุน ดังนั้น