circumstance: (1) persons under Clause 5, Clause 6, Clause 8 and Clause 9 who has to obtain approval from the SEC Office only; (2) the highest level responsible person in the compliance unit under Clause 7(4
supervisor for any reason whatsoever only after approval of the SEC Office has been obtained. 3 The notification of the Capital Market Supervisory Board regarding commitments between unitholders and mutual
1 Approval Rules _____________________ Clause 14 The Thai government agencies may only offer bonds or corporate bonds to the public in accordance with the criteria provided under this Chapter. Clause
Board concerning Application and Approval for Offer for Sale of Structured Notes, the application shall be filed on an issue basis only. 14 In the case where the applicant is a foreign commerical bank
simplified approval process to customers, with only collateral required, to assist small cash-based operators to better access funding sources. Moreover, KBank worked with TGIF Market to help shop owners sell
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
(UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market