alteration which having the regulation related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] · Providing a procedure or compliance
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
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
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
obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
Securities and Exchange Commission No.KorKhor.5/2551 Re: Determination of Form and Procedure of Application and Form of License for Undertaking Securities Business Pursuant to the Ministerial Regulation
procedure; (10) The Financial Institutions Development Fund; (11) The Government pension fund; (12) Mutual funds under the securities and exchange law; (13) Juristic persons with investment fund of Baht one
of the employee’s assets transferred from his previous fund or from the Government Pension Fund, provided that the transfer of such assets to the fund shall be in accordance with the rules and
derivatives business operator may request the customer to transfer such securities into its account to be held for such customer. When the derivatives business operator is required to transfer the securities