supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
unit price is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money
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...
necessity prior to the end of the 30 day period, the Office may extend the consideration period as necessary. Clause 6. In cases where it is found out later that shareholding structure of the financial
Warranty The company has reviewed the information stated in this Information with Representation and Warranty of Company’s Director and Executive and found no reasonable ground to believe that information
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 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...
Derivatives Act B.E. 2546 (2003) and the Notifications issued thereunder. Form as of 25 July 2006 O the company found that the following persons have certain prohibited characteristics, however, the company
whole amount to the unitholders in proportion of their existing unitholding and in consideration of full payment for valued offered; (4)9 the allotment of the offered units in a general case under the