Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ client’s asset ” means an asset deemed to be owned by a client as
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
approval from the SEC Office to be a personnel in the capital market business and holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1
holding the position under Clause 5, Clause 6, Clause 8 or Clause 9 has possessed prohibited characteristics under Division 1, the SEC Office shall proceed as follows: (1) in case of prohibited
a client to obtain rights and benefits arising from any securities or instruments owned by the client which are under custody of the derivatives broker from the issuers of such securities or
เงินเท่ากับราคาตรา พร้อมดอกเบี้ยงวดสุดท้าย 2. พันธบัตรรัฐวิสาหกิจ (State-Owned Enterprise Bonds) เป็นตราสารหนี้ที่มีอายุตั้งแต่ 1 ปีขึ้นไป ออกโดยรัฐวิสาหกิจ (องค์กรที่ได้รับ การจัดตั้งขึ้นเพื่อดำเนิน
take necessary actions for its clients to obtain the rights and benefits arising from any securities or instruments owned by the clients which are under its custody from the issuers of such securities or