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
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
derivatives position of such person in subparagraph (a). (2)2 “asset deemed to be owned by customer” means the following asset, unless otherwise specified in the notification of the Capital Market Supervisory
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