consideration a suitability of provider, including control and inspect the compliance of the provider strictly in order to assure that the provider is able to comply with the regulation prescribed by this
of any act, willfully or negligently, of the service provider; (2) Conditions and guidelines for the contract termination or suspension of service; (3) Service fees rate. Clause 9. In order to assure
provider; (2) Conditions and procedures for the termination of contract or suspension of service; (3) Service fees rate. Clause 7. In order to assure the capability of the securities company in undertaking
operate for a period in order to assure that a functionality having an efficiency, the assessment system is correct and complete and satisfies the need of user. [A] 2.7 Communication of alteration
. ------------------------------- The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 20/2547 Re: Rules for Derivatives Fund Management ______________________ To assure investors
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
, except for the advertisement of retirement mutual fund and long-term equity fund that urge investors to make the investment in time for acquiring tax benefits in such tax year. Clause 12. In case the