rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding
) to clients; (3) visibly reveal the redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction
supporting trading volumes adequately and checking the clearing and settlement ability of the service user before sending trading orders; (b) having a clearing and settlement system provided by a clearing
the underlying goods of derivatives (if any) before sending trading orders; (2) having a system for repaying obligations under derivatives and delivering the underlying goods of derivatives (if any) by
analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving
clearly in writing and supervise to ensure that no securities trading transactions of clients shall be revised in violation of or inconsistent with the specified methods and procedures. Chapter 5 Sending
with the following rules regarding the resolution of the unitholders approving the transaction: (a) in case of sending a written request for the resolution of the unitholders, more than half of the total
preventing of malfunction. [A] · Asking permission for use preserved information media, it shall be done by given approval by the authorised person and preparing a register of receiving and sending of
(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...