securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or

funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s suspension order has been lifted

concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no

management company has acted in violation or non-compliance with the rules prescribed by this Notification, the Office shall order such management company to rectify, undertake or omit from any acts in order

meet the period specified in the second paragraph, and the Office does not notify the result of consideration, or does not order to the securities company, it shall be deem that the Office approves the

to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving

, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to follow the rules stipulated in this

to the work unit responsible for post-trade operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in

Notification of the Office of the Securities and Exchange Commission No. SorNor. 62/2543 Re: Rules, Conditions and Procedures for Advertising of Securities Company Business for Sales Promotion and Providing of

and not misleading. Clause 15. To protect the interest of investors with regards to the information presented to them, the Office may order the securities company under Clause 14 to obtain prior