particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in

transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the

of each mutual fund, together with sufficient description thereof illustrating the distinctive nature of each mutual fund and the value of the pool of assets. Should there be any change in such

seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit

Derivatives Act B.E. 2546 (2003), which contains a particular provisions relating to restriction of rights and liberties of persons while Section 29 along with Section 35 Section 36 Section 39 Section 48 and

its custody; (2) any business operator, which ceases to undertake any particular category of its business by regulation or order, and when the SEC Office has received notice in writing from the business

service and securities underwriting; (2) The securities companies licensed to undertake securities business in the categories as specified in (1), except any one particular category; (3) The securities

issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation, or have been stipulated such requirement but it is

for acceptable use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets