order for her to trade securities through the client account for the benefit of herself, and signed on behalf of the client on transaction confirmation documents asked from the back office to cover up her

other persons from using their accounts to trade securities without their knowledge, and make sure that the documents of transaction confirmation are issued by the securities companies in charge. In

ทรัพย์และบัญชีเงินลงทุนของลูกค้า (Customer Confirmation and Portfolio) ที่มีรายการไม่ครบถ้วนตามหลักเกณฑ์การจัดทำรายงานการส่งคำสั่งซื้อขายของลูกค้าเพื่อใช้แทนใบคำสั่งซื้อขาย (order ticket) จึงเป็นการไม่

client (the true owner of the transferred securities) that the absence of trading confirmation on his account was due to the on-process status of his offer orders for sale, which caused the client to

กองทุนรวมในประเทศไทยสามารถใช้หลักฐานการซื้อ/ขายหน่วยของกองทุนต่างประเทศ (Confirmation for Subscription/Redemption) ที่บริษัทจัดการกองทุนต่างประเทศส่งกลับมาที่ธนาคารฯ เป็นหลักฐานการ

Confirmation of Clients _______________________ Clause 25 After a client has made a decision for investment or entering into a transaction, an intermediary shall report or inform the result of the performance to

redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction Confirmation of Clients

A-3 Form for Confirmation of Cost of Tendered Shares (Only for foreign juristic persons not operating a business in Thailand) Form A-4 Power of Attorney (for Tender Offer Acceptance) Attachment 2

restriction; (6) in case of an offering of structured notes that requires the quota verification of underlying shares, the Company has been notified by the SEC Office of the confirmation of such underlying

shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain