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

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

) “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

management company shall not list the units sold to major investor on the exchange; 2. the management company or the registrar shall not register the unit transfer in 1. made to any person other than a major

-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in

important statement, for instance, caution of risks; (2) using statement without being misleading or distortion; (3) not having exploitative terms and conditions, or not being unfair agreement; (4) covering

. 4.2 Having a system for handling clients’ complaints and dispute resolution efficiently, for instance, compliance with the Notification of the Capital Market Supervisory Board concerning Rules on Duty

licensed to undertake securities business in the category of underwriting, including any selling agent; (6) “ patron ’ means a person who patronises the issuer, for instance, clients, suppliers, employees of

, purchase on the Stock Exchange, over-the-counter purchase, acceptance of securities transfer, and receipt of returned securities from the borrower, etc. กรณีการจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าให้ระบุ

· Receipt of money transfer [ ] 10. Other supporting documents ( please specify ) _________________________________________________ * Documents 2. – 4. shall be prepared in accordance with the formats set out