provider of back office services to securities companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core

Notification shall apply to: (1) the application for approval and the approval for establishment of funds; (2) the allotment and the offer for sale of the units of funds; (3) the investment and income generating

year. Clause 6 The securities clearing house shall apply effective measures and methods for monitoring and control of outstanding clearing and settlement of securities and risk incurred by each member to

change to the market condition and conduct a full validation of such model at least once a year. Clause 6 The derivatives clearing house shall apply effective measures and methods for monitoring and

; “Office” means the Office of The Securities and Exchange Commission. Clause 4. This notification shall not apply for Thai Trust Fund Company Limited. Provided that, the provisions in Part 1 of Chapter 1

business related to investment. Clause 2 This Notification shall apply to: (1) the application for approval and the approval for establishment of funds ; (2) the allotment and the offer for sale of the units

offered for sale in comparison with other mutual funds or collective investment schemes in the same investment policy under the Notification on Standard Conduct of Business shall not apply. Clause 5 The SEC

investigative expenses. Regarding auditor oversight, the SEC will keep the record of the misconduct of Warot, Jeeranan and Jeeraporn for 10 years for future consideration if the three offenders apply for approval

ให้เหมาะสมกับสภาพทางธุรกิจ (apply or explain) โดยหากเรื่องใดที่คณะกรรมการพิจารณาด้วยความรอบคอบและระมัดระวังแล้วเห็นว่า ยังไม่เหมาะสมที่จะนำไปปรับใช้ ก็ให้อธิบายเหตุผลหรือมาตรการทดแทน และบันทึกไว้ใน

accordance with the rules and procedures prescribed by the Office. The provisions under the first paragraph shall not apply to the investment advisory company licensed to operate other type of securities