det hat the Comp y reason, th authorised to any person a uyer shall n nditions shal ansfer of the ect to Sectio sposal of ass y Board No. s Acquisitio Stock Exchan Concerning n Acquisition calculation

investment advisory company; “giving advice” means giving advice, whether directly or indirectly, concerning the value of securities or suitability of investing in those securities, or the purchase or sale of

September 2013 (“ Notification No. TorThor. 35/2556 ”) and the notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 45/2559 Re: Rules in Detail on Regulations Concerning the

(“Notification No. TorThor. 35/2556”) and the notification of the Office of Securities and Exchange Commission No. SorThor/Nor. 45/2559 Re: Rules in Detail on Regulations Concerning the Establishment of Risk

of Securities Commissions (“IOSCO”) โดยหน่วยงานดังกล่าวต้องเป็นพหุภาคีประเภท Signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of

Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and Exchange Commission of Thailand Concerning Mutual Recognition of Covered Funds and Covered

judgement of the court for an offence under the law governing the undertaking of the business, the law on anti-money laundering, or the law relating to financial business concerning unfair securities trading

the law governing the undertaking of the business, the law on anti-money laundering, or the law relating to financial business concerning unfair securities trading or fraudulent and dishonest practice

rules, conditions and procedures in details concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case

concerning the provision of this notification to ensure the clarity of practices and to facilitate the inspection process of the Office. Clause 21. In case where it appears to the Office that the securities