to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
making trading orders for clients; (4) purchase for its own proprietary portfolio in compliance with the requirement of purchase of shares in the Stock Exchange for delivering to subscribers who are
(unsolicited purchase or sale); (3) purchase or sale for its own proprietary portfolio resulted from an error in making trading orders for clients; (4) purchase for its own proprietary portfolio in compliance
own proprietary portfolio resulted from an error in making trading orders for clients; (4) purchase for its own proprietary portfolio in compliance with the requirement of purchase of shares in the
resulted from an error in making trading orders for clients; (4) a purchase for its own proprietary portfolio in compliance with the requirement of purchase of shares in the Stock Exchange for delivering to
purchase for its own proprietary portfolio in compliance with the requirement of purchase of shares in the Stock Exchange for delivering to subscribers who is allocated over-allotment shares or returning to
matters related to compliance with this Notification as well as set penalty measures as a guideline for the SEC Office. The Committee under the first paragraph shall comprise no more than five experts in
compliance with the rules or conditions; (2) an applicant is subject to restrictions under other laws, which restrict it from compliance with the rules or conditions to be waived; (3) the applicant has
/> “กฎเกณฑ์” หมายความว่า กฎหมาย กฎเกณฑ์ ข้อบังคับ มาตรฐาน จรรยาบรรณ และแนวปฏิบัติหรือคู่มือการปฏิบัติงาน (compliance manual) ที่บังคับใช้กับธุรกรรมต่าง ๆ ที่เกี่ยวข้องกับการประกอบธุรกิจสินทรัพย์ดิจิทัล