regulations under Chapter 4; (5) submission of evidence to confirm clients’ transactions shall comply with the regulations under Chapter 5; (6) provisions of communications and services related to any capital
balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate
report the investment position, the flow of assets, rights and dividends received from the investment, and accrual/payable balance, and shall confirm the transfer of money or assets in and out of the fund
information. You may withdraw your consent at any time by taking the following steps: Press the unsubscribe button from the emails of the SEC Office; Check the email address; Press the Confirm button to
examination of the working paper and the audit quality control system and specify the list of working papers to be examined; - On-site inspection, notify and confirm the issues found verbally; - Consider the
information. You may withdraw your prior consent at any time by taking the following steps: Press the unsubscribe button from the emails of the SEC Office; Check the email address; Press the Confirm button to
changed after that date. ……………….(name of securities company)…………… does not confirm nor certify the accuracy of such survey result
จะไดรับเปนเงนิสดแทน) - ความเสี่ยงตาง ๆ เชน ความตางระหวางราคา u/l ในวนั confirm การซื้อ u/l ในตางประเทศกับ วัน trade TCR ความเสี่ยงจากอัตราแลกเปลี่ยน เปนตน - เปดเผยขอมลูใหผูลงทุนทราบเพื่อ
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
contained in this document has been obtained from several sources, and Bangkok Commercial Asset Management Public Company Limited (“BAM”) cannot confirm, in all cases, the accuracy and completeness of such