should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
; (d) having the objective to register units as listed securities on the Stock Exchange; (e) complying with the rules as prescribed in Clause 11 in case of classification of unit classes; (f) having the
regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification
specific law; (9) the foreign entity is not in breach of any condition in complying with the terms and conditions; (10) the foreign entity shall appoint a a contact person in Thailand for the purpose of
. Clause 40 If it is necessary, a securities clearing house or central securities depository may issue temporary rules or regulations without complying with Clause 36. If the Capital Market Supervisory Board
Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In