points, such shareholder will be allowed to buy additional number of shares up to his/her rights before the launch of the program. The conditions under the current rules which restrict shareholders to do

conflict of interests which may arise in the securities borrowing and lending business, in the case where the business operator has a proprietary account, the business operator shall separate the unit which

securities borrowing and lending business, in the case where the business operator has a proprietary account, the business operator shall separate the unit which is responsible for the management of its

of interests which may arise in the securities borrowing and lending business, in the case where the business operator has a proprietary account, the business operator shall separate the unit which is

และรายงาน ประจ าปี ได้หรือไม่ 20 เอกสารแนบท้ายหนังสือเวียน ข้อ 4.13 หน้า 8 ระบุตัวอย่างสถานการณ์ที่ควรก าหนด restrict list ว่า บริษัทจัดการอยู่ระหว่างเตรียม ก าหนดการจ่ายเงินปันผลให้แก่ผู้ถือหน่วยลงทุน

available to pay debt securities holders; b. provision requiring the issuer to maintain certain financial ratios; c. provision that restrict the issuer from creating additional debt under certain conditions

statement. 2. Provide the disclosure in a separate section titled “Risk Factors” and separate different types of risk factors into different subsections. 3. In case of offering for sales of unusually risky

derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have

the equity crowdfunding scheme and would confine individual exposure to ICOs, there are counter-arguments that this would overly restrict retail investors’ freedom to invest and the same could be said

a secured log-on procedure; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source