customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and
party. The description shall include only (1) any lawsuit that may negatively affect the assets of the Company or a subsidiary at an amount higher than 5 percent of the shareholders' equity at the end of
attached herein the information on such appraisal. 5. Legal disputes Give a brief description of the ongoing lawsuit(s) or legal dispute(s) whereby the Company or subsidiary is a party. The description shall
of the ongoing lawsuit(s) or legal dispute(s) whereby the Company or its subsidiary is a party. The description shall include only (1) any lawsuit that may negatively affect the assets of the Company
business to the third party, the management company shall remain legally accountable and liable to regulator and investors whereby the scope of work shall be within the ability of the management company to
paragraph, such transfer shall be binding on the securities issuing company but shall only be binding on a third party when the transfer has been entered into the register. SECTION 54. No securities issuing
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of
company under Section 100 of the Securities and Exchange Act B.E. 2535 (1992) which has already been subject to specific Notifications; (2) an appointment of a third party to be a service provider in any