proposed to its client or investor who is interested in the products, at least according to Clause 42. In this regard, such information shall not be distorted and misled; (4) distribute prospectus or
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
companies who will be allotted the units proportionally to their shareholdings: 1. the listed company that will be selling, transferring, leasing or granting the rights in the infrastructure asset to the fund
assessing suitability as prescribed in Clause 33 and Clause 34; (3) disclose sufficient information relating to capital market products proposed to its client or investor who is interested in the products, at
case may be. SECTION 29 In cases where there is a cause of alteration of trustee but the appointment of a new trustee cannot be proceeded due to an inevitable cause, an interested party may file a motion
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring