of the Securities and Exchange Commission concerning the prohibited characteristics of personnel in securities business. Chapter 4 Transitional Provisions Clause 12. A person approved to be a fund
to investor contact from a regulatory organization of the countries accepted by the Office, in case the investor contact has obtained approval through such qualifications. Chapter 5 Transitional
through such qualifications. Chapter 5 Transitional Provisions ______________________ Clause 17. The person having been granted approval to be Category A investor contact based on the qualification of being
such securities company to correct, act or omit from any act, to comply with this Notification. Chapter 3 Transitional Provisions _______________ Clause 32 A securities company shall completely provide
brokerage or securities dealing, the SEC Office may order such securities company to correct, act or omit from any act, to comply with this Notification. Chapter 3 Transitional Provisions _______________
appointment of representatives for a specified period or conditions, or revoke the approval thereof. Chapter 4 Transitional Provisions and Effective Date of Notification ___________________ Clause 18 Any
specified period or conditions, or revoke the approval thereof. Chapter 4 Transitional Provisions and Effective Date of Notification ___________________ Clause 18 Any Notification of the SEC Office, orders
แบบอิเล็กทรอนิกส์เพียงรูปแบบเดียว อย่ำงไรก็ดี เพื่อให้ ผู้มีหน้ำที่รำยงำนมีระยะเวลำในกำรท ำควำมเข้ำใจมำกยิ่งขึ้นส ำหรับกำรส่งรำยงำนในรูปแบบ อิเล็กทรอนิกส์ ส ำนักงำนจึงก ำหนดระยะเวลำ (transitional period
the SEC Office prior to the date on which the SEC Office imposes such suspension or revocation of approval. Chapter 4 Transitional Provisions _____________________ Clause 28 Any person obtaining