/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
unitholders. (a) Decreasing minimum subscription (b) Increasing in channel of selling and redemption investment units (c) Increasing in selling agent (d) Increasing in frequency of (e) Decreasing
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
/ Registration • Brokerage о Securities Brokerage о Derivatives Agent о Guidelineon the commencement for operation of securities / derivatives business • Dealer о
personal data from you directly. The SEC Office receives your personal data from a company or agent that you have delegated to proceed by using the system. The SEC Office receives your personal data from the
whether such service provider is borrower's or lender's counter party of agent. Undertaking securities borrowing and lending business under the first paragraph shall, however, not include the followings
broker or an agent to effectuate trading in debt securities between dealers in normal course of business, the service of which is carried out by collecting information on offer for sale or purchase of such
ไว้ที่บุคคลที่ 3 ที่มีความน่าเชื่อถือ เช่น escrow agent เป็นต้น และหากผู้ลงทุนต้องการจะยกเลิกการจองซื้อในช่วงที่ยังไม่ปิดการเสนอขาย ก็สามารถทำได้ ภายในระยะเวลาที่กำหนด นอกจากนี้ ผู้ลงทุนสามารถสอบถาม