come into force on the day following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument
to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
where the Company has debt securities such as debenture and negotiable instrument, describe the significant characteristics of such securities. For example, type, unredeemed amount and value, maturity
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
appraisal on the company shall involve an appraisal of infrastructure assets invested by the company in accordance with the rules under (1). (3) for the infrastructure asset being debt instrument or
oversee the operation related to important matters such as an audit committee, a credit limit consideration committee and an investment committee to allow such committees to screen and give recommendations
exceeding one year and shall not have any restriction on selling or transferring before maturity; (3) investing in debt instrument avaled in full amount or unconditionally guaranteed by the Ministry of
significant terms such as the right to put and call options; (2) In the case where the Company has debt securities such as debenture and negotiable instrument, describe the significant characteristics of such
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial