Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the

approval has been granted by the Capital Market Supervisory Board. For the purpose of expanding business opportunity for securities companies, the Securities and Exchange Commission, acting as the Capital

disclose and distribute such information to investors in Home Jurisdiction. Yes No If “No”, please specify __________________________________________________

of the REIT; (2) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units

, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared

company of the issuer of such shares or underlying shares. Clause 9. A securities underwriter shall distribute to investors securities subscription forms concurrently with prospectus or information relating

scope of service provision which is inappropriate with the current situation where the securities business under the category of mutual fund management and private fund management are expanding and highly

Thailand within the same period as having the duty to disclose and distribute such information to members of the Passport Fund/ Regulated CIS (unitholders) in Home Economy. Yes No If “No”, please specify

money for debt repayment has been set aside, the liquidator shall distribute, proportionally to the unitholders’ holding, the remaining money to the unitholders whose names appear on the register of

, or giving false information to the counterparty . Clause 12/1 In the case where a securities company buys securities from an issuer to resell to a client , the securities company shall distribute