Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out
of the REIT; (2) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units
.: _____________________________ In case the ARFP Passport Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF), please state the names of market maker
money for debt repayment has been set aside, the liquidator shall distribute, proportionally to the unitholders’ holding, the remaining money to the unitholders whose names appear on the register of
Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a major shareholder, a controlling person, a parent
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared
client to perform whenever using the services; (5) conflicts of interest (if any); (6) practicality between the intermediary and the client in accordance with laws, relevant Notifications and procedure set
the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication