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

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

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

) the circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content

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

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

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

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

circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content, proportion

and estimated return, unless otherwise approved by the Office pursuant to Chapter 2; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time