instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9

where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the

mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9) certificates representing the rights to purchase investment

) the circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

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

purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives

rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action

circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content, proportion

and estimated return, unless otherwise approved by the Office pursuant to Chapter 2; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time