Item 11]. 4. Management of the computer network systems and information transfer: - communications security [Referring to Item 9] - information transfer [Referring to Item 9.2] 5. Protection against
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
accordance with the rules and procedures as specified in the notification of the SEC Office. SECTION 51.5 The transfer of name debentures, name certificates representing the rights to purchase shares, or name
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
procedure for dividend payment including review of the number of unitholders which the company received from the registrar and the comparison of the resolution on dividend payment to the transfer order issued
, purchase on the Stock Exchange, over-the-counter purchase, acceptance of securities transfer, and receipt of returned securities from the borrower, etc. กรณีการจำหน่ายหลักทรัพย์และสัญญาซื้อขายล่วงหน้าให้ระบุ
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the