, having an effectiveness and correct integrity and satisfies the need prior to transfer for operating in real condition. [M] · In the importance operation, there shall be an agency or independent team for

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

management company shall not list the units sold to major investor on the exchange; 2. the management company or the registrar shall not register the unit transfer in 1. made to any person other than a major

ใช้บัญชีซื้อขายหลักทรัพย์โดยวางหลักประกัน (margin account) ขอให้ระบุให้ชัดเจน Clearly specify if a purchase, sale, transfer or acceptance of transfer is made in a margin account; 5. กรณีที่เป็นการรายงาน

balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate

obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return

acts under the provisions of this Act or other laws. In exercising the power and duty of the Office under the first paragraph, the Office shall have the power to: (1)  own, possess, hold any proprietary

) “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

intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any

· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out