Ref. No. IVL 003/08/2020 13 August 2020 The President The Stock Exchange of Thailand Subject: Submission of Quarterly Review of Financial Statements and the Management Discussion and Analysis of
giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand
derivative position of the client in cases where transferring to another intermediary cannot be done; (2) The official receiver shall take any action other than those prescribed in (1) for the purpose of
Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28 November 2001 shall be required to prepare and file the reports for such transactions done prior to the
November 2001 shall be required to prepare and file the reports for such transactions done prior to the effective date of this Notification in accordance with such Notification. Clause 6. This Notification
2001 shall be required to prepare and file the reports for such transactions done prior to the effective date of this Notification in accordance with such Notification. Clause 6. This Notification shall
. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment
4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order