. ------------------------------ Notification of the Capital Market Supervisory Board No. TorNor. 77/2552 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result of Merger or Amalgamation of Mutual Funds By virtue of
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
proceed outsourced function; (3) the function which may be outsourced to another intermediary shall not be a specific matter or a matter specified by law or regulation to be operated by the intermediary
to undertake securities business under the first paragraph may be commenced after having been given an approval of the Minister upon the recommendation of the SEC. A merger of securities companies
number or value of investment units; (2) fees or expenses imposed on investors; (3) merger or amalgamation of mutual funds ; (4) acceptance of debt repayment in the form of securities or other assets by
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as