structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption
; (3) Thai government securities as follows: (a) treasury bills; (b) Government bonds; (c) Bank of Thailand bills and bonds; (d) bonds, bills of exchange, promisory notes, or debentures under which the
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
; (3) “securities” means shares, bonds, bills, sukuk, share warrant, bond warrants, derivative warrants, certificates representing interest from Thai securities underlying and REIT units; (4) “securities
Capital Market Supervisory Board concerning Application for an Approval of Offer for Sale of Newly Issued Securitized Bonds ; (7) structured notes; (8) debentures structured with burden on the debenture
the Notification of the Office of the Securities and Exchange Commission concerning Additional Rules for Mutual Fund Investing in Derivatives and Credit Linked Notes; (c) investment units of a mutual
Government Bonds, state enterprise bonds which are unconditionally guaranteed by the Ministry of Finance for full repayment of principal and interest, and Bank of Thailand bonds. Such instruments shall have
-allotment shares in full, as the case may be: (1) shares of such issuing company or depositary receipt whose underlying securities are such shares, in case of underwriting of shares, convertible bonds or
consent in writing. Clause 7. Derivatives broker may deposit customer’s cash with commercial bank or other bank established under the specific law, or invest in promissory notes issued by finance company or
in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business to give advice pertaining to the bonds thereof, the intermediary