causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to its custody of clients’ assets for at least five years. Such information
proportion of 51 percent 2. Capital Increase Form (F53-4) 3. Information Memorandum regarding the offer of newly issued shares by capital increase of East Coast Public Company Limited to the specific person
to the management company for considering an approval; (2) disclosure of information or documents needed for making investment decisions to clients, as well as arranging clients’ information in support
investments account and reviewing evidentiary documentation attached to the application before delivering them to the management company for considering an approval; (2) disclosure of information or documents
: “intermediary” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
appropriate. The invitation letter to the Extraordinary General Meeting of Shareholders No. 1/2019 together with the documents for the meeting are posted on the Company website (http://www.jts.co.th) on
of such reports or documents. Clause 11/3.16 In the case where the investment advisory company violates or fails to comply with Clause 2/1, Clause 11/1, or Clause 11/2 or does any improper act which
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is