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
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
ประเทศ -> หน่วยกองอสังหาฯ และตราสาร REITs single fund limit ≤ 10% ; total fund limit ≤ 20% (ข้อ 74 ประกาศ สน. 24/2552) single fund limit ≤ 15% (ข้อ 62(6) ประกาศ สน. 24/2552) single fund limit ≤ 15
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
SEC Thailand Academy 2016 2 ประกาศแนวปฏิบัติ ที่ นป. 2 /2563 เรื่อง แบบฟอร์มมาตรฐาน (single form) สำหรับการทำธุรกรรมในตลาดทุน __________________ ตามที่ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทธ. 35/2556
)...from…(INSTITUTION)… (NAME).......... 5. Marital status ( Single ( Married ( Unregistered married ( Divorced ( Others........... Spouse’s name