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
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
securities or assets in which the mutual fund invests, risks relating to the investment, types of investment units, procedures for purchase and sale of investment units, the relevant fees or expenses. This is
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
result from the operation of an infrastructure business or the operation of any other assets acquired through the operation of an infrastructure business; (d) the right of claim in a sales and purchase or
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
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