convertible debentures and share warrants; (4) “director” means a director of an issuing company or its subsidiary; 2 (5)1 “employee” means a person who agrees to work for an issuing company or its subsidiary
ETF” means a share of investment company or unit trust issued under collective investment scheme in the category of exchange-traded fund established under law of foreign jurisdiction; “foreign regulator
. “underlying share” means a newly issued share provided for the exercising of rights under a convertible bond. “exercising of conversion right” means the conversion of convertible bond into shares, whether by
supporting declaration of identity and additional documents in case of reasonable suspicion concerning investor’s qualifications. Securities company shall revise investor’s information under the first
suspicion that such amount of money belongs to the client; (2) Securities: (a) segregating by depositing with a securities depository center or the Bank of Thailand by clearly indicate that such securities
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
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have subscribed for those structured notes. Clause 10/11 In cases where any of the following grounds for suspicion appears to the SEC Office, the SEC Office shall not approve, suspend or revoke the