: please note that the contents added in brackets [….] have only been provided in the English version for clearer understanding.

any of the following capital market products without solicitation for investment, who performs duties as an investment consultant under a signatory member of the Memorandum of Understanding on the ACMF

shall determine duties and responsibilities for each operational staffs clearly and arrange a communication and rehearsal of understanding on duties to perform, as well as specify in details of

communication and rehearsal of understanding on duties to perform, as well as specify in details of operational approach understandable and practicable on what, when and where to work. 5.2 Methods and channels to

of Securities Commissions (“IOSCO”) โดยหน่วยงานดังกล่าวต้องเป็นพหุภาคีประเภท Signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of

Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and Exchange Commission of Thailand Concerning Mutual Recognition of Covered Funds and Covered

knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as

knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as

knowledge and understanding of the general law governing professional practices. Directors, managers and persons with power of management who are responsible for the work unit relating to the functioning as

shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case where the price being offered with conditions, securities company shall clearly