client’s assets without delay upon receivership by court order, in compliance with the following regulations: (1) The SEC Office shall proceed with the segregation and management of the client’s assets by
proceed as follows: (1) the total units to be allotted to such shareholders shall not be more than fifty percent of outstanding units or the amount allotted to general investors, whichever is lesser. Such
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
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility Certificate is received from the SFC. The SEC
the total outstanding investment units; (4) a mutual fund of which the person under (1) or (2) holds investment units in an amount not exceeding fifty percent of the total outstanding investment units
investment units in the amount of fifty percent or more of the total outstanding investment units; (4) a mutual fund of which the person under (1) or (2) holds investment units in the amount of not exceeding
performing such role. In this regard, if such compensation is in accordance with the rules under Clause 15 (2), the management company may proceed without the approval of the mutual fund supervisor prior to
regulations. If a provident fund which has been set up before the effective date of this Act is intended to be a fund under this Act, it shall proceed in accordance with the first paragraph. Section 7. A fund
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1