. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
suspension of listed securities of PTT Public Company Limited as a result of the Supreme Court of Thailand’s ruling on PTT Public Company Limited to be given on 14 December 2007, the management company shall
; “ complaint ” means a compliant relating to or as a result of derivatives business in the category of derivatives brokerage. Clause 2 For appropriate customer complaint proceedings, a derivatives broker shall
asset or compensation from a client or other persons as a result of duty performance. Clause 6 A securities company should arrange a compliance system according to the following guidelines: (1
) proceeds remain from the sale of client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall
fund scheme The change and amendment to the mutual fund scheme as a result of the resolution of the unitholder should not be contrary to the laws and related rules in which the management company should
, excluding the prohibited characteristics as a result of the execution of the SEC Office. Chapter 6 Duties of Personnel in the Capital Market Business Chapter 23 Personnel in the capital market business shall
23 of the Derivatives Act B.E. 2546 (2003) ; (2) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30, excluding the prohibited characteristics as a result
; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for