redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction Confirmation of Clients
verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain confidence among investors. Guidelines 1. Accepting of purchase or redemption order of investment units
) examine the account status of a client before trading securities for the client; (2) specify the method and procedure for trading securities for clients on the first-come-first-served basis and take into
A-3 Form for Confirmation of Cost of Tendered Shares (Only for foreign juristic persons not operating a business in Thailand) Form A-4 Power of Attorney (for Tender Offer Acceptance) Attachment 2
online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would be a person with
accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives