(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its
authority of the Capital Market Supervisory Board; therefore, it deems appropriate to issue this Notification to replace Notification of the Securities and Exchange Commission Re. Rules and Periods for Report
the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
appropriate to issue this Notification to replace the Notification of the Securities and Exchange Commission No. KorNor. 57/2543 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result
underwriting, mutual fund management and private fund management shall be the power of the Capital Market Supervisory Board, it is deemed expedient that this Notification be issued to replace the Notification of
Exchange Commission ________________________________________________________________________ Remark: The reason for issuing this Notification is to: (1) issue a notification to replace the Notification of
shall cancel such designation or replace such designated person without delay. Clause 14. To ensure that each open-end fund shall have adequate liquid assets to accommodate the redemption of investment
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
various importance information in hard disc remained in the recycle bin. [A] 2. IT Contingency Plan. · having emergency plan for backup the computer system or provide computer system to replace without