conforming to the principle of Clause 30 and Clause 38 of the Notification on Standard Conduct of Business . Clause 29 The following products shall be deemed as risky or complex capital market products: (1
obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the
appointment to be the agent in the Kingdom of Thailand shall be conforming to the rules under Clause 6; (2) in case of investment units in any other case except sub clause (1), the appointment to be the agent
the agent in the Kingdom of Thailand shall be conforming to the rules under Clause 6; (2) in case of investment units in any other case except sub clause (1), the appointment to be the agent in the
securities business, derivatives business or any other business of financial service or participates or supports or having participated or supported such act of other person; (2) there are reasonable grounds
case the outsourcing policy or contract fails to be conforming to the regulations under this Notification, the intermediary shall amend such policy or contract in order to be in accordance with this
fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual
client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions (if any), as
interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions
prediction hypothesis is reasonable and well-supported by clear explanations. In preparing disclosure of the annual registration statement in the following year, the Company shall clarify if and how the actual