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

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

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

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

Clause 31 in order to identify the real client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is

other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification

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

” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and

has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8

entering into any transaction; (e) risk tolerance. Clause 32 For the purpose of knowing a client , an intermediary shall consider received information as prescribed in Clause 31 in order to identify the real