represent entitlement in assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives
representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s
must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore, any
communication with a client . In addition, the intermediary shall communicate at the right time, with clear and reliable information, and without misleading information. Clause 29 In case an intermediary has
notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation or right of a person arising from derivatives trading. “close out a
storage. Clause 28 An intermediary shall arrange the appropriate channel and monitoring system for communication with a client . In addition, the intermediary shall communicate at the right time, with clear
legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty percent of the total number of shares with voting right of such legal entity; (9) "parent company" means
. เป็นการจัดจำหน่ายหุ้นตาม 1. และเสนอขายหุ้นดังกล่าวควบกับหลักทรัพย์ประเภทอื่น ซึ่งได้แก่ (1) ใบสำคัญแสดงสิทธิที่จะซื้อหุ้น (2) ใบแสดงสิทธิในการซื้อหุ้นเพิ่มทุนที่โอนสิทธิได้ (Transferable Subscription Right
wish to invest in or dispose of real estate or leasehold right of related person for the property fund, the mutual fund management company shall fulfill the conditions specified in Clause15/1 and Clause
percent of the total number of shares with voting right of such legal entity; (9) “ parent company ” means: (a) a company holding shares of the applicant exceeding fifty percent of the total number of