Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
, or giving false information to the counterparty . Clause 12/1 In the case where a securities company buys securities from an issuer to resell to a client , the securities company shall distribute
) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
disclose and distribute such information to investors in Home Jurisdiction. Yes No If “No”, please specify __________________________________________________
of the REIT; (2) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units
sufficient for the Selection Committee to consider nomination of such experts. The rules under the first paragraph shall be approved by the Minister and shall continue to be in effect even though the Selection
, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared
supervisor in business management. Clause 2 In order to ensure that critical function of intermediaries will continue or be restored in a timely manner in the event of disruption of its normal operations
management for business continuity of securities companies pursuant to this Notification. Clause 3. In order to ensure that critical functions of a securities company will continue or be restored in a timely
claimant no longer intends to continue the arbitratal proceeding and the Office shall terminate the proceeding for such dispute, except where the Office deems it necessary and appropriate; (2) after the