finance companies; (3) repaying debts on behalf of the mutual fund and paying fees, charges, compensation, including any other expenses incurred from the liquidation; (4) distributing to the unitholders
paying dividend that is clear and conforms to the conditions prescribed in the prospectus including a reconciliation and balance for the protection of unitholder’s interest. Guidelines 1. There should be a
Paragraph 1 shall include any business having any of the following chrematistics: (a) distributing products or providing services to the general public, either directly or indirectly, through other
would have caused the firm to reject the client had such conditions existed at the time of initial acceptance; · Clients delinquent in paying fees; · Engagements in specialized industries; · Engagements
of disseminating or distributing documents or advertisements produced by the securities company. Clause 18. In cases where it appears to the Office that the securities company fails to comply with the
distributing documents or advertisements produced by the securities company. Clause 14. In cases where it appears to the Office that the securities company fails to comply with the advertising rules prescribed
รับชำระเงินค่าซื้อหน่วยลงทุนของกองทุนรวม (Paying Agent) ผ่านเคาน์เตอร์เซอร์วิสและร้านค้าชั้นนำทั่วประเทศ และการร่วมมือกับสมาคมตลาดตราสารหนี้ไทยจัดทำแหล่งรวมข้อมูลหุ้นกู้เอกชน (Bond Supermart) ซึ่ง
company shall also comply as follows: (1) distributing an investment advisory service handbook which is prepared in accordance with Clause 16 to the customer prior to giving the first advice, however, there
debt and equity securities. 6. Receivables from clearing house means a net balance account of receivables from the Thailand Securities Depository Company Limited (TSD.) resulting from paying for the
documentation to be informed of the client ’s financial status and debt-paying ability. In case of a retail client , the securities company shall arrange sufficient information or evidentiary documentation to