on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
characteristics as specified under Clause 31 to [i] the person under consideration and [ii] the intermediary by which such person is appointed or assigned, until the condition specified by the SEC Office is
existing clients; (3) take any other action in the manner that increases risk to the financial condition, the operation or the performance under the agreement with the clients, as prescribed by the SEC
increases risk to the financial condition, the operation or the performance under the agreement with the clients, as prescribed by the SEC Office. Clause 14 Where the intermediary fails to regain the
prior to expiration or an extension is granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to the SEC Office no
granted to the participation period on the condition that the approved person submits an application together with the evidentiary documentation to the SEC Office no less than thirty days before terminating
selection which may cause assets of clients to be in a condition of low liquidity and high risk (cherry picking); (2) shall use the latest issuance of credit rating information made by the reliable credit
credit rating information selection with responsibility and caution (fiduciary duties) and shall not make credit rating information selection which may cause assets of clients to be in a condition of low
, Rayong Branch 2 / 38 Moo. Tambon Tarsit, Amohoe Pluag-daeng, Rayong 2 subsidiary’s revenue came from the supporting factors of both weather condition and water level that were favorable for agricultural