’ understanding that there is a preventive measure against using inside information. 9.5 Investment consideration and REIT management: (1) specify procedure and factor for investment consideration; (2) for
the integrity risk by the content covering the development procedure or alteration from the beginning such as request including take the developed operation system or altered for operate in the true
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
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 website of the SEC
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
the SEC Office in accordance with the form and procedure provided on the electronic system of the SEC Office. Clause 5 In case the SEC Office deliberated that an applicant has correctly and completely
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23