securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
exempt payment of returns or interests; 2. hybrid securities issuer having the rights to receive debt repayment from the issuer before common shareholders but after debenture holders; (b) perpetual bonds
in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means. (As amended by Section 3 of the Securities and
Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
from the issuer before common shareholders but after debenture holders; (7) perpetual bonds; (8) non-investment grade or unrated bonds; (9) structured debentures according to the Notification of the
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company
, call center or other distribution via various media. 5.3 Required resources for operation Companies should prepare or procure required resources for operation, such as procurement or determination of
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise
clearer understanding. Dishonesty defined as the dishonesty as prescribed in Section 1 of the Criminal Code B.E. 2499 (1956) which means doing any act in order to procure, for himself or the other person