applicable) ผู้ซื้อ/ ผู้รับโอน โปรดระบุชื่อ/ความสัมพันธ์ 5 Purchaser/ Transferee (Specify name and relationship) จำนวน (Amount) ราคาเฉลี่ย (Average price) ผู้จัดทำ / Reporter หุ้นสามัญ (common share) หุ้น

(common share) หุ้นบุริมสิทธิ (preferred share) ใบส าคัญแสดงสิทธิที่จะซื้อหุ้น (warrant) ใบแสดงสิทธใินการซื้อหุ้นเพ่ิมทุนที่โอนสิทธิได้ (transferable subscription right) หุ้นกู้แปลงสภาพ (convertible

and the redemption; (7) rights of sukuk holder in case the originator has an outstanding debt prior to issuing sukuk; (8) restriction for the transferring of sukuk (if any); (9) signature of an

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying

SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets, without or not complying

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the