Office’s approval is obtained. Clause 11. In cases where the liquidator fails to complete the liquidation within the period specified in Clause 10, the liquidator shall submit to the Office the request for
have the investment units of a public offering listed on the Stock Exchange of Thailand as well; (8) restrictions on the allocation and transfer of investment units (if any); (9) request for the
offeror [CIS operator] may request a waiver in a written form to the SEC Office before the submission period ends whereby the offeror [CIS operator] shall clarify reasons for such waiver and specify the
products , the intermediary shall control the services in compliance with the following rules: (1) separating area for communication with or providing services to a client from other business area
market products, the intermediary shall control the services in compliance with the following rules: (1) separating area for communication with or providing services to a client from other business area
regulator is located, providing that such information shall be kept at office or on the website of securities company and sent to investor upon request. Clause 8. Prior to selling units of foreign collective
of the securities company and deliver to investor upon request. Clause 9 In case a CIS operator fails to comply with an agreement as prescribed in Clause 7, a securities company shall not provide any