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
return, except for estimated return specified in Clause 9; (3) information that urges investors to purchase investment units within a certain timeframe or by a certain time, except for the advertisement of
agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2
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
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
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
. “ major participating investor ” means any person specified in the ETF scheme that such person would be able to buy or sell ETF units with mutual fund management company or operator of foreign ETF , as the
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
Notification on Standard Conduct of Business and this Notification, it shall be deemed that the intermediary has already been permitted to buy or hold shares by the SEC Office in accordance with Section 98(7)(b