application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (7) there are no grounds
. 2/2558 ให ้practical และชดัเจนข้ึน ท่ีก าหนดวา่ ผูท่ี้ท า proprietary trading ตอ้งตดัสินใจลงทุนไดอ้ยา่งอิสระโดยกรรมการแต่ละราย และผูบ้ริหารระดบัสูงไม่เขา้ไปมีส่วนร่วมในการตดัสินใจลงทุน เป็นเร่ืองท่ี
the transaction. In this regard, the Company has considered and viewed that the reason for re- negotiation is reasonable and that the price of the Company’s shares has materially decreased. Although
will be the opportunity for the company to expand the investment in the future. Moreover, the transaction is reasonable due to increase the income of the company. The company bargains the 90 – day volume
such transaction. Clause 10 In the case where an intermediary has a reasonable ground to enter into a transaction for a client with the intermediary itself or a connected person in accordance with Clause
a negligence of reasonable performance of duty in supervising persons under the line of command to refrain from violating or failing to comply with the laws governing securities and exchange or the
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units
payments for subscription for investment units to subscribers within a reasonable period. (Translation) 4 Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company