records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
information memorandum of such transactions to the Stock Exchange of Thailand and to send the information memorandum of such transactions to its shareholders within 21 days after disclosing to the Stock
under Clause 21: (1) terms regarding the securities to be lent out and collateral shall include the following details: (a) the lender has to transfer the securities without preferential right or any
regarding the securities to be lent out and collateral shall include the following details: (a) the lender has to transfer the securities without preferential right or any encumbrance of others to the
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
within 21 days from the beginning of the disclosure all the listed to Bangkok Stock Exchange of Thailand but do not need any agreements from the shareholders. The company will send all the information at
transfer of the first portion of the Sale Shares are expected to be done within April 2019 subject to the following conditions. 1) The Extraordinary General Meeting of Shareholders of the Company No. 1/2019
amended regulations on custody of assets, with key essences as follows: (1) Withdrawal or transfer of fiat money from the accounts opened for the benefit of clients shall comply with the principles for
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive