responsible for proceeding according to such procedures in each situation. Clause 7 The notifications of the SEC Office, orders and circulars that are issued or set out guidelines pursuant to the Notifications
fund supervisor, the former fund supervisor shall proceed as necessary to ensure that the new fund supervisor can continue duty performance. In this regard, such proceeding shall include signing in the
SEC Office. (Reasons for seeking an exemption are required for the SEC Office's consideration). 4.5 Having not been accused of or subject to criminal proceeding, whether under Thai or foreign laws
case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been completed within such period, the record of such advice
on which the advice is given or order is placed, as the case may be. However, should there be any customers’ complaint relating to the giving of advice or placing of order whose proceeding has not been
characteristics as follows: (1) having deficiency in legal competence or having been subject to any legal proceeding under the law governing capital market or having untrustworthy characteristics as specified by
further legal proceeding; ● In case of a dispute between an investor and an intermediary, the SEC needs to disclose relevant information to the persons involved and for the intermediary to clarify or take
in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic plan to urge the Thai public to realize the importance
in the investors' portfolios but insufficient solutions to the investors' long-term financial well-being. The SEC is proceeding with a strategic plan to urge the Thai public to realize the importance
directors in each case every time before proceeding with the subcontracting and there shall be an arrangement for the subcontractor to become a person under Clause 12, Clause 16, Clause 17 or Clause 18, as