units relating to operational function, compliance function, internal audit or risk management; 5 (4) managing investment in capital market products, financial instruments or other specified assets; (5
decision for clients; (3) controlling, supervising and managing business units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in capital
units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in capital market products, financial instruments or other specified assets; (5
action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
intermediary ’s branch office; (3) controlling, supervising and managing business units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in
stipulate a position limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under
limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the
(details as appear in enclosure 1) and send a notification disclosing at least the information specified in List 2 of the Major Transaction Rules to its shareholders within 21 days from the date on which the
notification disclosing at least the information specified in List 2 of the Major Transaction Rules to its shareholders within 21 days from the date on which the disclosure is made to the SET. Please be informed