company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock
an equity of the balance interest of the invested business, such as share capital, investment units of mutual fund, share capital warrant and share capital purchasing right etc.. The company shall
shareholders’ equity of the derivatives broker ; (b) financing lease which is under the condition allowing for early termination of lease by the derivatives broker as the lessee without purchasing the asset
company that provides a custodian service for assets of its clients, whether for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account