determine a measure for selection and consideration a suitability of provider, including control and inspect the compliance of the provider strictly in order to assure that the provider is able to comply with

__________________ Clause 4 Unless specified otherwise in this Notification, in establishing and managing a mutual fund under this Notification, the management company shall comply with the regulations related to

effect from 16 June 2021. To ensure that business operators understand and comply with the regulations prescribed in the said Notifications properly, the SEC would like to provide clarificatory notes to

understand and comply with the regulations prescribed in the said Notifications properly, the SEC would like to provide clarificatory notes to the Notifications and relevant guidelines, with details as follows

branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a

Part 4. Clause 5 In offering structured notes, the Thai government agencies shall comply with the following criteria: (1) for offering of structured notes the issuer of which has callable option, or the

for sale of debt securities shall comply with the following rules: (1) a public offering of debt securities shall comply with the provisions in Part 1 and Chapter 1 of Part 2; (2) a private placement of

capital market shall comply with the following rules: (1) being a certified public accountant whose license is still valid; (2) being a leader of an audit firm or equivalent or being a partner of an audit

whose home exchange is a foreign exchange shall comply with the provisions related to the approval under Chapter 2 of Part 2 and the provisions related to the filing of the registration statement under

deemed that the intermediary has already complied with the requirements under this Notification; (2) order an intermediary to amend, act or omit to act in any way to comply with this Notification or the