’ assets without delay. In cases where the securities company appoints a person who has a relationship as a parent company, subsidiary company or associate company as an agent, the securities company shall
this asset disposition. In this regard, the company appoints Jay Capital Advisory Limited to be Independent Financial Advisor (IFA) in order to give opinion on the company entering into the disposition
account or the cancellation date of the agreement. Clause 17. An agreement which a retail client appoints the securities company as his or her securities broker, shall bear a statement of larger fonts, or
per day until it stops such use. Section 34.2 Any fund committee that fails to comply with the second paragraph of Section 11, Section 21, the third paragraph of Section 25, or Section 26, or appoints a
fund committee that fails to comply with the second paragraph of Section 11, Section 21, the third paragraph of Section 25, or Section 26, or appoints a person who is unqualified under Section 13 to be
transfer restriction registered with the Office, the company shall not accept such transfer registration, except for the case of inheritance. If the company appoints a warrant registrar, it shall ensure that
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
new trustee shall be made in accordance with the rules as specified in the notification of the SEC Office. 6 SECTION 25 In cases where the trust instrument appoints a sole trustee or several trustees
the trust instrument appoints a sole trustee or several trustees and specifies each trustee to separately manages the trust property, if there is a cause to alter the trustee but the new trustee has not