matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
that the registration statement contained false information becomes known or should have been known, but not exceeding 2 years from the effective date of registration statement. In offering units of CIS
to section 82 of the Securities and Exchange Act B.E. 2535 (1992) within one year from the date on which the fact that the registration statement contained false information becomes known or should
Clause 4, the management company shall report such fact in writing to the Office within seven days from the date when the prohibited characteristics of such mutual fund manager become known or there are
from the date on which the claimant knows or should have known of the cause of such dispute and not more than one year from the date on which the dispute occurred except where the Office deems it
trustee is completely vested with the trust property. SECTION 28 The new trustee shall notify in writing to the third person known to the new trustee as the party in the agreement made with the former
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
) “ insider information ” means a material fact which would affect the price of a securities and has not been disclosed to the public, and has become known to a securities company during the course of the
public and the securities known by its business operation; “investor contact” means a person who contact, solicit, giving advice or prepare an investment plan to the investor or to client of securities