practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing

the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3

of securities companies and derivatives business operators in 2016, as follows: 1. Friday 1 January New Year’s Day 2. Monday 22 February Makha Bucha Day 3. Wednesday 6 April Chakri Day 4. Wednesday 13

for B.E. 2551 (2008) as follows: 1. Tuesday 1 January New Year’s Day 2. Thursday 21 February Makha Bucha Day 3. Monday 7 April Chakri Day (Substitution Day for Sunday 6 April) 4. Monday 14 April

) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

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following cases: ( (1) new request for approval submitted after a previous rejection by the SEC Office; ( (2) request for renewal of approval or request for approval submitted after a previous approval was

Capital Market Business . Clause 5 In case an independent director dies, resigns or vacates from the position, an intermediary shall proceed to have a new one for the replacement within 90 days as from the

management company shall: (1) appoint a new liquidator within ten business days from the date on which the liquidator is unable to perform its duties; (2) notify the Office in writing within five business days