Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
opinion · 2 . Qualified opinion due to (can choose more than one): ( 2.1 Misstatements that are material, but not pervasive, resulting from: ( 2.1.1 selection of an inappropriate accounting policy
experts appointed as board member by the Minister through selection process in accordance with Section 31/7; in this regard, at least two of such experts shall have experience in managing a company whose
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
disclose and distribute such information to investors in Home Jurisdiction. Yes No If “No”, please specify __________________________________________________
of the REIT; (2) in case it is underwriting for the benefit of the parent company or the subsidiary company of the securities underwriter where the company wishes to distribute the held REIT units
shall comply with the following rules: (1) shall make consideration of credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information
, if the remaining clients’ assets are insufficient for allocating to the clients in full, the SEC Office shall distribute the allocation proportionately according to the client asset accounts prepared
and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and
following matters: (1) the selection and supervision of the personnel involved in the operation of the fund to ensure that they have suitable knowledge and capability for the administration and management of