person who purchases or redeems the investment units with incorrect unit price, or any payment with a value equivalent to the difference between the incorrect unit price and the correct unit price in lieu
price specified in the contract; (2) a contract in which a party receives payment from or is obliged to make payment to the other party in the amount equivalent to that calculated from the difference
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
agreement is reasonably higher than purchase price of the securities provided that the difference shall be calculated from discount rate of purchased securities (initial margin) specified by taking into
) management of information relating to clients’ assets . Clause 7 In undertaking custody of clients’ assets , a securities company shall proceed as follows: (1) give information and have its clients sign for
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
2. In case the value of investment units of a closed-end fund is incorrect and such value has been announced, provided that the difference between the incorrect unit value and the correct unit value
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as