approval for an offer for sale of newly issued bonds upon complying with the following rules: (1) being a company established under Thai law; (2) being able to demonstrate that an offer for sale of newly

the service provider by complying with the rules, conditions and procedures as prescribed by the SEC Office. In case the outsourced function under Paragraph 1 is investment management of mutual funds

enforceable demand for onward disclosure in the Requesting Authority’s jurisdiction, the latter will notify the Requested Authority prior to complying with such a demand, unless it would be a breach of Domestic

or financial institution established under specific law; (10) the applicant is not in breach of any condition in complying with the terms and conditions. Clause 17 The applicant shall not have any of

out a comply or explain approach to adhering to any policy on high-impact activities. Establish a formal investment policy on fossil fuels and other high-impact sectors and activities including

in investment, investment background, and record of borrowing money for purchasing securities and borrowing securities for making a short sale; (c) readiness and understanding in complying with the

the SEC Office notify the result of the deliberation otherwise. (3) the appraisal company in capital market or the lead appraiser may obtain a renewal approval by complying with the following

issuers shall explain at least the causes and key factors that make the difference, including the effect thereof. Clause 23 The listed company shall rotate an auditor by complying with the rules prescribed

Auditors in the Capital Market, upon the SEC Office’s request. Clause 231 In cases where any auditor is attached to more than one audit firms without complying with Clause 10(6) or is attached to an audit

are not worth the cost of complying with such requirements or conditions; (2) the applicant is subject to restrictions under other laws, either Thai or foreign laws, that do not allow the applicant to