where there are many types of investment units; (b) requirements with respect to allotment of investment units, transfer of investment units, and restrictions on allotment and transfer, as well as
margin account shall comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on Investment Analysis and Consultation
comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on Investment Analysis and Consultation _____________________ Clause 22 In
financial condition. I. Meeting of Debt Securities Holders Disclose details relating to the requirements for convening, attending or voting at a meeting of debt securities holders, if such a meeting can be
indicate an attempt to avoid transactions being detected or reported, or the client requests the securities company not to report certain transactions. Clause 21. Securities company shall establish a proper
concerning reporting of suspicious transactions, which would indicate an attempt to avoid transactions being detected or reported, or the client requests the securities company not to report certain
inquiries on internal policies and procedures concerning reporting of suspicious transactions, which would indicate an attempt to avoid transactions being detected or reported, or the client requests the
requests for the postponement of the consideration and where the arbitrator deems it appropriate to postpone the consideration, such postponement shall not exceed two times. The arbitrator may charge the
) - 9 - reasons in writing before the commencement of the consideration, the arbitrator, if deems it appropriate, may consider the case on one-sided basis. In cases where the respondent requests for the