required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following disciplinary action
which may lead the client to lose or be required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may
) Supervision and inspection management company’s staffs comply with standard under (1) and; (3) Prescription of disciplinary to punish staffs who violate or fail to perform to comply with the standard under (1
who violate or fail to perform to comply with the standard under (1). Clause 24. In the case where it appears that the management company’s staffs violate or fail to perform in accordance with standard
management company’s staff; (2) Supervision and inspection management company’s staffs comply with standard under (1) and; (3) Prescription of disciplinary to punish staffs who violate or fail to perform to
client to lose or be required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following
with the requirements under this Notification; (4) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to
) specifying the activities of the intermediary which shall be approved by the SEC Office before doing thereof in order to prevent the breach or fail to comply with requirements of this Notification; (5
ประกัน การคำนวณ Excess Equity การบังคับขาย เป็นต้น (2) ต้องไม่ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) สำหรับการปฏิบัติหน้าที่ของผู้บริหาร ผู้จัดการกองทุน และกรรมการในคณะกรรมการลงทุนของกองทุน