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
clients, they will be required to comply with additional business conduct rules including (1) adhering to the principles of integrity and equal treatment for all clients, (2) operating business in the
real-life environment with real customers while complying with the regulations and conditions suitable for the experimenting period, for example, the requirement for standard systems and the maximum
regarding complying with the GIPS Standards, which would help facilitate investors in comparing the fund performance. The AIMC standard has, however, been largely in compliance with the GIPS Standards and the
Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In
applicant shall arrange a financial advisor, whose name appears in the SEC Office’s approved list, to jointly prepare an information in a notice calling for shareholder’s meeting in conforming to Clause 12
the derivatives clearing house is for the purpose of complying with Section 82 and Section 83. (2) in the case of securities, the derivatives clearing house shall deposit them with a central securities
Plans 02 Legal Disclaimer The Investor Agenda and its partners are committed to complying with all laws and regulations that apply to them, including antitrust and other regulatory laws and regulations
emergency events, including a detailed procedure and the responsible person for adhering to each step of the procedure; (2) a list of computer systems relating to clearing, settlement, and depository services