rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
prescribed under clause 5. Clause 13. The management company may provide services to customers outside the office hours which are prescribed by the Office only if the management company has publicly and
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
in this Chapter. Clause 38 An intermediary may provide service for acceptance of trading orders of capital market products outside the intermediary’s offices only when the intermediary is qualified and
” assessment results in the part relating to auditing? Yes No Have you ever been inspected the audit quality by the audit oversight authority? Yes No If yes, please provide us the latest results of the
difference representing the deficiency, as the case may be, to provide a price compensation to the open-end fund, except where the incorrect unit price is caused by external factors which are uncontrollable
intermediary shall comply with the regulations prescribed in this Chapter. Clause 38 An intermediary may provide service for acceptance of trading orders of capital market products outside the intermediary ’s
execution. Clause 8. Securities company shall provide evidence and document about securities trade completely and up date, and keep it for at least five years as from the trading date, of which evidence and