; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
in details in Chapter 7. As a result of promulgating this Notification, [i] the Notifications as prescribed in the Notification of the Capital Market Supervisory Board No. TorThor 34/2556 Re
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
the result of the sale to the Office. In cases where an offering is made through an underwriter, the promoters of a public limited company, a company or owner of securities shall report the amount of
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
SEC Thailand within 45 days after the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of
. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
the last day of each calendar year. The CIS operator or local intermediary shall report the result of the sale to the SEC office within 45 days after the last day of each calendar year.
suspension of listed securities of PTT Public Company Limited as a result of the Supreme Court of Thailand’s ruling on PTT Public Company Limited to be given on 14 December 2007, the management company shall
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest