rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
Item 11]. 4. Management of the computer network systems and information transfer: - communications security [Referring to Item 9] - information transfer [Referring to Item 9.2] 5. Protection against
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
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
use in solving problems, on which companies shall inform its responsible officers. Also, when critical business functions have been restored to normal, companies shall notify the SEC to acknowlege as
, purchase on the Stock Exchange, over-the-counter purchase, acceptance of securities transfer, and receipt of returned securities from the borrower, etc. กรณีการจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าให้ระบุ
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out
balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate