, 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
; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a
minutes of the investment committee meeting. (5) Having rules of practice for investment management in case of the unforeseen situation which may cause negative impact on investment of the client/fund e.g
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
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
; (3) Thai government securities as follows: (a) treasury bills; (b) Government bonds; (c) Bank of Thailand bills and bonds; (d) bonds, bills of exchange, promisory notes, or debentures under which the
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
) promisory notes and bills of exchange issued by financial institution under the law on loan interest of financial institution; (4) ivestments in securities, derivatives and other financial instruments; (5
) cash and bank deposits; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bills of exchange issued by financial institutions under the law on
assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange