of the service provider, retrieve for viewing or examine relevant evidentiary documentation; (3) causes, conditions and procedures for terminating the contract or 3 Amended by the Notification of the
the assets in the client’s account is the rightful owner or the person, with written authorization, entrusted by the rightful owner. Clause 19. A securities company shall examine the status of the
company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities trading for the client
in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes
19. A securities company shall examine the status of the client’s account before trading securities for the client. Clause 20. A securities company shall determine methods and procedures of securities
1 (TRANSLATION) SAFARI WORLD PUBLIC COMPANY LIMITED PCL 0107537000351 Ref. No. 080/2019 4 December 2019 Subject: Notification of the Resolution of the Board of Director’s Meeting regarding of the schedule of EGM1/2020, Capital Decrease, Capital increase, an Increasing of investment cost in Carnival Magic Project, and compensation for design and construction to related person. (Update) To: Managing Director The Stock Exchange of Thailand Reference: 1. Information Memorandum on the Issuance and Of...
rules on borrowing of money for purchasing securities or borrowing of securities for making a short sale; (2) examine under professional standards to ensure that the person requesting to borrow money for
In cases where any person makes a request for a transfer registration to the company, the company shall examine the validity of such transfer. If it is found that such transfer would contravene the