Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as

the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

: ............................................................................... 8. Performing of audit work ( Full-time time used for performing audit work per week ........................ hour(s) ( Non-full-time time used for performing audit work per week

securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or

the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or

contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged

ตรงกัน สำนักงานจึงขอซักซ้อมความเข้าใจในเรื่องต่าง ๆ ดังนี้ (1) การกำหนดเวลาในการรับคำสั่งซื้อขายหน่วยลงทุน (“cut off time”) บริษัทหลักทรัพย์จัดการกองทุน (“บลจ.”) และบริษัทนายหน้าซื้อขาย หน่วยลงทุน

is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a