) Enter into a new custodian agreement; (2) Renew the existing custodian agreement; (3) Other acts specified by Notification of the Office. Clause 11. The custodian granted with an approval under this

with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring

results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person

which this Notification comes into force. (2) In case of holding derivatives position, the derivatives broker may continue the holding for the remaining period and shall not extend or renew such contract

renew an approval to be listed in the register of person qualified to be property fund manager. In case where the person obtained approval for renewal to be listed in the register of person qualified to

, specify the method of such disposition, for example, selling on the Stock Exchange, selling off the Stock Exchange, transferring securities, lending securities, etc.; 4. ในกรณีซื้อ ขาย โอน หรือรับโอนเป็นการ

category of investments; c) total amount of net profit items and total amount of net loss arising from transferring for change category of securities; d) total amount of net profit items and total amount of