) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or reconsidering if the client insists to invest. After giving additional
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
Office prior to distribution: (1) advertisement related to estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to
shall perform the following conducts: (1) notifying the client ; (2) providing additional consultation involving feature, risk and return of the investment or transaction for the client ’s reviewing or
ชี้วัดดังกล่าวต้องคำนวณโดยใช้ดัชนีที่ใช้วัดผลตอบแทนทุกประเภทจากการลงทุนในหลักทรัพย์ (total return index) เท่านั้น และไม่ใช้ดัชนีที่สะท้อนความเคลื่อนไหวของราคาหลักทรัพย์ที่เป็นองค์ประกอบของดัชนี (price
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
equal to the amount of the license fee already paid by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License Clause 18 An applicant for
that have been or will be sold ; (2) to enable the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in
by the applicant for the said derivatives business license. Chapter 3 Return of Existing Derivatives Business License _____________ Clause 18 An applicant for derivatives business license for the
notification of the SEC. "debenture" means any debit instrument 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