matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
becomes effective. Clause 3. This Notification shall come into force as from 16 April 2008. Notified this 2nd day of April 2008. (Mr. Surapong Suebwonglee) Minister of Finance Chairman of the Securities and
that the registration statement contained false information becomes known or should have been known, but not exceeding 2 years from the effective date of registration statement. In offering units of CIS
to section 82 of the Securities and Exchange Act B.E. 2535 (1992) within one year from the date on which the fact that the registration statement contained false information becomes known or should
management of the clients’ assets within sixty days as from the date when the intermediary becomes under receivership by court order. Upon completion of proceedings as prescribed in this Notification, the SEC
. When the initial margin becomes lower than the maintenance margin, the derivatives broker will require the investor to fill the initial margin up to the original amount within the specific period of time
business days from the day it becomes or oughts to become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or
repurchase transaction becomes less than the purchase price x (1 + initial margin); (f) not reselling or transferring the securities received from repurchase transaction except for reselling or transferring
supervisory rules in effect at the time or to ensure the interest of investor protection, if any of the following facts becomes apparent, the SEC Office shall have the power to order the mutual fund management