and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
amount of 87 Baht (Eighty seven Baht only) and Value of Consideration amount of 55,000,000 Baht (Fifty-five million baht) as per information memorandum on entering into the transaction of acquisition and
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
the risk in transferring the assets and relevant agreements to the Buyer as the Buyer will only settle the majority of purchase price of THB70 Million to the Seller once the Seller has transferred all
of 2018, or 47.62%, due to settle loans from outsiders at the rate of 9.00% per annum and Short term bill of exchange at the rate of 7.00% per annum at the end of 2017 and no additional loan in 2018
Baht 13.76 million in the third quarter of 2017 to Baht 7.17 million in the third quarter of 2018, or 47.89%, due to settle loans from outsiders at the rate of 9.00% per annum and Short term bill of
Clearing Agency Settle Underlying Local Clearing Agency Foreign Custodian Local Custodian + , Underlying -%,+ , Underlying Settle TCR Issue TCR Investor ! TCR Q !4@A TCR Investor Local Broker Local