where the employer remits the money into the fund late (b) Having adequate system and measures to control correctness of the date of calculation of the number of unit (trade date) of each member e.g
is deemed final. Clause 4 When a customer files a complaint to the SEC Office which sends the complaint to a securities company, the securities company shall solve the problem prescribed in the
amalgamation; (10) “transferred mutual fund” means a mutual fund which sells or transfers its assets, rights and duties in mutual fund amalgamation; (11) “Notification No. TorNor. 76/2552” means the Notification
. Clause 25. The derivatives broker shall put in place a reliable system to verify that the person who sends orders to the derivatives broker to take any action regarding the assets in the client’s account
of company, its shares shall be directly held by the Ministry of Finance more than 50% of the total number of voting rights; (2) being able to provide money services on deposits, withdrawals, transfers
through banks, or client repeatedly purchases cashier cheques for settlement; (10) unexplained settlements or transfers of assets in large amount from or to accounts of third parties, who are not ultimate