calculate the limits for each investment policy instead of for each fund, except for the investment limits set out in Clause 54.” Clause 4. In calculating limits for additional investment in assets by

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

sound business control conduct; (3) Being able to maintain capital funds and set aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such

reasonable ground to believe that the applicant has any deficiency or inappropriateness regarding the sound business control conduct; (3) being able to maintain capital funds and set aside reserve capital in

institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

กรณีซื้อขายหุ้นแบบ big lot (put-through) ใน ตลท. เว้นแต่เป็นการลงทุนในเงินฝากหรือตราสารเทียบเท่าเงินฝากที่บุคคล ที่เกี่ยวข้องซึ่งเป็นสถาบันการเงินเป็นผู้ออกหรือคู่สัญญาเพื่อประโยชน์ในการบริหารสภาพคล่อง

, the Office of the Securities and Exchange Commission hereby notifies that 6 July 2009 has been set as a special holiday for securities companies and derivatives business operators. Notified this 11th

exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary