examined by the SEC Office. (4) report to the SEC Office immediately in case an oversea branch office was sanctioned or given an order to act or omit to act, by foreign capital market regulator or foreign
entering into every such transaction, except in the following cases whereby the management company may carry out the transaction immediately: (1) a transaction for an acquisition or a disposal of securities
Paragraph 1, the mutual fund management company shall proceed to have the mutual fund dissolved immediately. Clause 12 To ensure that the management of a mutual fund is in accordance with the policy or the
, indicate how the proceeds of that indebtedness were made use of. 7. Disclose the amount and percentage of the debt securities beneficially held by each selling securities holder before and immediately after
report the result of securities dealing in accordance with related rules and the work unit responsible for post-trade operation can immediately confirm the securities trading with its counter trader
related rules and the work unit responsible for post-trade operation can immediately confirm the securities trading with its counter trader. Clause 7/1.8 A securities company shall be a member of Thai Bond