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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

extension of opening hours or the opening on holidays as requested by the securities company. Clause 6. The securities company may extend the opening hours or open on holidays for the service of mutual fund

request and application fee ( Approval request fee of 50,000 baht due to the following cases: ( (1) First time request for approval (the applicant has never requested an approval before); ( (2) Request for

Audit Firm is requested to disclose to the names of its audit engagement clients in the last accounting period, particularly: A. The businesses fall under Clause 3 of the Notification of the Office of the

examine as requested. Clause 11 . In case where the Office sees appropriate, derivatives broker shall arrange for the Office of the Securities and Exchange Commission to examine an operation of service

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

. In this regard, all information requested from clients must be up-to-date at the time the KYC/CDD process is undertaken. Furthermore, where the customer is a natural person, the securities company

process organized by the SEC Office in accordance with the rules and procedures prescribed by the SEC Office when requested by the client for the settlement of civil dispute incidental to or resulting from