the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent
broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board regarding Rules
their responsibilities; **(6) having personnel to be investment consultant, investment planner or investment analyst, as the case may be. In this regard, such personnel shall obtain an approval from the
well as the individual face value of each type of debt security offered or listed. 3. Provide information about the form of the security, such as whether investors can obtain physical certificates or
Trust’s units and the value of the acquisition of Trust’s units will not exceed THB 360.00 million and also approve the Company and/or subsidiary companies to obtain bridging loans from financial
the unitholders of each class. Clause 12 The investment of a REIT in real estate shall be in accordance with the following rules: (1) being an investment to obtain ownership or possession of such real
outcome. Asset managers that sign up to this Code should obtain an independent opinion on their engagement and voting processes having regard to an international standard or a UK framework such as AAF 01/06
Draft prospectus shall be provided with the following statement on the first page. 5 “The general public is able to request to review or obtain a copy of a registration statement and the draft prospectus