in a governmental agency, the SEC Office, the Stock Exchange, the over-the-counter center or the Derivatives Exchange, who is in the position or the condition that can access inside information through
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of
instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument of whatever name excluding
provision: “(5) borrowing in the name of the mutual fund or creating any encumbrances on the assets of the mutual fund, except entering into derivative or engaging in the transaction in accordance with the
conduct the purchase or sale of listed securities outside the Securities Exchange, regardless of whether it is acting as a broker, agent or in its own name, unless such member obtains a permission from the
remuneration by any methods, and called by any name, but excluding the overtime payment, the payment for work on holidays, and money or other benefits withheld or additionally paid by the employer to the
the Office of the approval granted for such custodian. SECTION 138. All assets of the person authorizing the management of the private fund shall be in the name of the person authorizing such management
Board requires more votes than the majority votes. 3. Supervision of the Securities Exchange 5/10 • Enhancing supervision of the SEC on the securities exchange (the Stock Exchange of Thailand: “the SET
maintain separately an account and a list of the debtors’ name in respect of the transferred assets. A debtor shall be entitled to inspect his account and name. Section 16. As regards the transfer of assets