exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
accruing from the assets under (a) to (c), for example, right to dividend or interest, right to purchase capital increase shares and right to attend and vote at a meeting of securities holders, etc. (2
from the closing date of the subsequent offering of units to increase the fund’s capital , as the case may be. Clause 24 The management company shall ensure that the commitment between the unitholders
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
transferring such securities to the customer, the derivatives business operator shall also deliver all interests or any benefit arising from such securities to such customer unless agreed otherwise. 12 The
, specify the method of such disposition, for example, selling on the Stock Exchange, selling off the Stock Exchange, transferring securities, lending securities, etc.; 4. ในกรณีซื้อ ขาย โอน หรือรับโอนเป็นการ