intermediary shall comply with not only the rules prescribed in the Notification on Standard of Business Operation, but also the rules prescribed in this Notification. In the case where the rules on providing
price, the management company shall proceed as follows: (a) In case of sale of investment units, the management company shall reduce the number of investment units of the relevant purchasers by the amount
the correct unit price, the management company shall proceed as follows: (a) In case of sale of investment units, the management company shall reduce the number of investment units of the relevant
Thailand (BOT) and the Office of the Insurance Commission (OIC). In the case that no wrongdoing is detected, the SEC Office will not store such data. Data for verification of wrongdoing from the integrated
clearing and settlement, including in the case of default in securities clearing and settlement; (4) business continuity management, with measures that meet international standards in a bid to promote and
comply with the law, related Notifications and professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the
Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 4 of 12 9 In case the independent director deceases, resigns or SEC has annulled the approval, or
, Conditions and Procedures of Securities Brokerage and Securities Dealing which are not Debt Instruments (No. 9) dated 2 May 2006. (Unofficial Translation) Page 4 of 12 9 In case the independent director
report of net liquid capital calculation of the last business day of the month to the SEC Office by the seventh day of the following month; (3) in case where a securities company have any subordinated