Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

Company’s directors or executives; (2) defects of the Company’s internal control (if any), completion of amendment or incompletion and relevant clarification. 11.2 Describe the opinions of the Audit Committee

and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is

proceed in accordance with Clause 4(2). Clause 6 In proceeding with the actions as prescribed in Clause 4 and Clause 5, the Legal Execution Department and the SEC Office may jointly issue guidelines in

unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The

Section 81 Securities and Exchange Act B.E. 2535 Section  81. After the completion of the sale of securities, the promoters of a public limited company, a company or owner of securities shall report

advisory with execution) รวมทั้งมีการติดตามและปรับปรุงการลงทุน (monitoring & rebalancing) ให้สอดคล้องกับแผนจัดสรรการลงทุนของลูกค้า ข้อ 3 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 16 พฤษภาคม พ.ศ. 2562 เป็นต้นไป

amendment under the SEC Office's order and the period of completion or the expected period of completion are attached to the requisition for exemption). 5. In case of establishing a full branch office

for several persons who use services of such financial institutions or several levels through an omnibus account; (e) monitor the clients’ execution of transactions closely. While reviewing and revising

ให้บริการ (execution, delivery and product management) หมายเหตุ : 1 ให้บริษัทจัดทำและจัดเก็บข้อมูลไว้ที่ทำการเป็นประจำทุกปีภายในวันที่ 31 มกราคมของปีถัดไป 2 มูลค่าความเสียหายที่เกิดขึ้นให้หมายความรวมถึง