Securities and Exchange Commission No. Sor Lor Thor. 49/2558 Re: Approval of Personnel in the Capital Market Business (No. 2) dated 10 July 2015. 3 Clause 8 Any person who wishes to receive an evidence of the
on which the disruption occurs. Once the major operational disruption ends, intermediaries shall notify the SEC without delay. Clause 10 Intermediaries shall keep documents and evidence relating to the
instruments or evidence representing the rights to the property of a mutual fund; (7) certificates representing the rights to purchase shares; (8) certificates representing the rights to purchase debentures; (9
sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order for the Office or
appropriate methods and in sufficient details; (5) Arrange to keep documents and evidence with respect to the exercise of voting rights for a period of not less than five years from the date of voting in order
perform duty, manager of securities company shall perform duty as the person responsible for the operation of such branch office. Securities company shall maintain evidence documents relating to operation
number of a requisition for amendment or record of particulars in the registration (if any). Clause 23 A trustee shall provide evidence representing the rights in units and shall deliver it to the