products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause 57; (c) additional systems as stipulated by other notifications. In
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
following specific services: (a) investment analysis for capital market products as specified in Clause 49; (b) service of buying and selling investment units in form of omnibus account as specified in Clause
the lessee without purchasing the asset, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office. (2) other off-balance sheet’s contingent
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
” means any person undertaking business relating to buying or selling gold in Thailand. (3) “Major shareholder” means any holder or beneficial owner of shares in the amount exceeding ten percent of the
______________ SECTION 39. The par value of a debenture of a company shall not be less than one hundred baht which shall be paid in money and the purchaser cannot avail himself of a set-off against the company as