กระบวนการในส่วนที่เกี่ยวกับการให้คำแนะนำทั่วไปที่แสดงได้ถึงความเป็นอิสระ (2) มีการประกอบธุรกิจโดยมีการดำเนินงาน (established presence) ในประเทศที่มีการกำกับดูแลตลาดทุนอันเป็นที่ยอมรับของสำนักงาน
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
information electronically to the SEC Office; 1 . 3 We agree to abide by the fact that the information which is deemed to have been submitted electronically by us under 1 . 2 can be referred to as evidence in
can be referred to as evidence in the legal proceedings and we shall not deny the existence of such information only because it is presented in an electronic form. 4 Clause 2 We acknowledge and agree
Disposal of Asset B.E. 2547 (2004) dated 29 October 2004 (as amended) (collectively referred to as “Notifications on Acquisition or Disposal of Assets”). After calculating the size of such transaction based
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as