without the requirement to submit an application for approval, in case of suspension order for a period not more than the period of approval; (3) in case the demeanor, being within the scope of prohibited

case of suspension order for a period not more than the period of approval; (3) in case the demeanor, being within the scope of prohibited characteristics in Group 3 under Clause 31, is not severe or has

) as well as the provisions under Part 6 in case of the applicant being a holding company; 2 Amended by the Notification of the Capital Market Supervisory Board No. Tor Jor. 55/2558 Re: Provisions

for clients. “member of fund investment committee” means a member of a committee which is appointed or assigned by a fund management company to consider and determine the scope of investment of mutual

the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associated companies being operated or to be operated, as the case may be. In this

required to sumbmit such attachments to the Stock Exchange of Thailand (SET) as well. - 3 - SEC Classification : ใชภ้ายใน (Internal) Part 1 Business Operation and Operating Results 1. Organizational

to 350 participating faculty members and staff of Loei Rajabhat University. Titled "Happy Money: Financial Planning from University of Happiness to University of Well-being," the lecture aimed to

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

unit responsible for custody of private fund assets shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling

Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities