report at the head office for the period of no less than five years as from the last date of that calendar year for inspection by the Office. Clause 14. In the case where there is such error with the

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

is less than one Satang or at least one Satang or greater, but less than 0.5 percent of the correct unit value, the management company shall prepare and submit a report on the error to the fund

than 0.5 percent of the correct unit price, the management company shall prepare and submit a report on the error in the unit price to the fund supervisor within seven business days from the date the

; (2) A securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other full-service branch offices

; (2) A derivatives operation unit, the derivatives broker may arrange for the full-service branch office to share the derivatives operation unit with the head office or other full-service branch offices

: .................................................................................................... Sharing resources with the Head Office 6. In case of establishing an online office: 6.1 Name of the responsible person for online operation:........................................................ 6.2 The

ลงทุน ดังกล่าวไว้แล้วอย่างเต็มจำนวน (ง) การลงทุนเนื่องจากเกิดความผิดพลาดในการส่งคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าให้แก่ลูกค้า (error port) (5) การสลักหลัง รับอาวัล หรือให้การรับรองตั๋วเงิน หรือการเป็นผู้