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
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
derivatives ต้องเพื่อป้องกันความเสี่ยงเท่านั้น ไม่จำกัดอัตราส่วน (ข้อ 35(2)(ก) และข้อ 76 ประกาศ สน. 24/2552) เหมือนเดิม 2.6 structured notes product limit ≤ 25% (ข้อ 77 ประกาศ สน. 24/2552) ห้ามลงทุน (ข้อ 8/3(3
; (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
-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
) promisory notes and bills of exchange issued by financial institution under the law on loan interest of financial institution; (4) ivestments in securities, derivatives and other financial instruments; (5
) cash and bank deposits; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bills of exchange issued by financial institutions under the law on
assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange
notes or investment that such transaction is done by securities company for client’s benefit. In case where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits