taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be

negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such

the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This

. Clause 25. The derivatives broker shall put in place a reliable system to verify that the person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account

. Friday 20 May Visakha Bucha Day 10. Friday 1 July Mid-Year Closing Day 11. Tuesday 19 July Arsarnha Bucha Day 12. Friday 12 August H.M. the Queen’s Birthday 13. Monday 24 October Substitution for

Songkran Festival 5. Tuesday 15 April Songkran Festival 6. Thursday 1 May National Labour Day 7. Monday 5 May Coronation Day 8. Monday 19 May Wisakha Bucha Day 9. Tuesday 1 July Mid Year Closing Day 10

company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place

derivatives position is held in order to secure the performance of derivatives contract; (5) “ market closing time ” means the closing time of the afternoon trading session of derivatives exchange. Clause 2 A

from the closing date of the subsequent offering of units to increase the fund’s capital , as the case may be. Clause 24 The management company shall ensure that the commitment between the unitholders