shall be made readily available for immediate use or verification by the management company , and shall be made available for the SEC Office’s inspection upon request. Clause 15 In case the SEC Office
implementation Details 1. To acquire assets or finance acquisitions of other business, related to the operation of the current business. - In case of asset acquisition: describe the types of assets and their
to the client which shall operate at least during the office hours of the securities company . (2) publicize or disseminate the information on the implementation under (1) to the client ; (3) disclose
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in