liquidator under the first paragraph shall be given prior approval from the Office. Expenses and remuneration arising from liquidation of any mutual fund shall be paid from the assets of that mutual fund.

the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client ; (2) entering into transactions by exploiting information, relevant to its

expenses, provided that the expenses are limited only to expenses relating to the business operation; (3) ten percent of the average annual income but not exceeding five million baht, provided that the

of the return distribution or the reimbursement of capital to the unitholders; (b) fees or expenses collected from the unitholders; (c) any other cases approved by the SEC Office, provided that, in

The actions which cause conflicts of interest in this Chapter shall include the following conducts of an intermediary or its related person: (1) making [financial] benefit at the expenses of a client

derivatives agents to restrict or prohibit a client from acquiring further position, to close its trading accounts or to liquidate his/her position if the client’s derivatives transactions have or may have

provisions regarding the expenses for the fund’s operation; (10) the provisions regarding the general meetings; (11) other particulars as prescribed in ministerial regulations. The fund committee shall

of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Chapter 4 Information Communications Security via Computer Network Systems and

Total Income 2. Expenses 2.1 Expenses on Borrowing 2.2 Fee and Service Expenses 2.3 Bad debt and doubtful accounts 2.4 Shares of loss of subsidiaries and affiliated 2.5 Operating expenses 2.5.1 Personnel

10/1. In applying for license, if the applicant requests to restrict the scope of its securities borrowing and lending business in any way, then after license has been given,, the business operator