according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) purchase or sale for its own proprietary portfolio resulted from an error in

) a purchase or sale according to a client’s order which is not guided or solicited by the securities underwriter (unsolicited purchase or sale); (3) a purchase for its own proprietary portfolio

Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: 5232731155936989369

Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: 13592060535677990824

Request Rejected The requested URL was rejected. Please consult with your administrator. Your support ID is: [Go Back]

rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding

extension of opening hours or the opening on holidays as requested by the securities company. Clause 6. The securities company may extend the opening hours or open on holidays for the service of mutual fund

request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for

Audit Firm is requested to disclose to the names of its audit engagement clients in the last accounting period, particularly: A. The businesses fall under Clause 3 of the Notification of the Office of the

examine as requested. Clause 11 . In case where the Office sees appropriate, derivatives broker shall arrange for the Office of the Securities and Exchange Commission to examine an operation of service