securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different
related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a securities borrowing and lending agreement
have in place a securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts
defects in its qualifications within the time period specified in paragraph two, the mutual fund management company shall request the SEC Office’s permission to change the mutual fund supervisor within 15
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
ออก หลักทรัพยเฉพาะกรณีหลักทรัพยท่ีไมมีประกัน C. Guarantees ม.70 (3) ทรัพยสินหรือหลักประกันอ่ืนท่ีเปนประกันการออก หลักทรัพย (ถามี) D. Liens * E. Subordination and Limitation of Rights * F. Default
personal data to other persons, the SEC Office complies with the specified purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained
purposes or the purposes permissible by law only. In the case where it is required by law that your consent must first be obtained, the SEC Office shall request your consent. In this regard, the SEC Office
upon the date when the offenders affix their signature on the letter of consent to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent