Securities not Subject to Provisions on Public Offering of Securities, with the exception of the criteria for arranging an agent in Thailand. Clause 15 If, after approval for an offer for sale of depositary
in arranging for a guarantor and the ratio of the estimate or expense in arranging for a guarantor in comparison to the total fee or expenses of the mutual fund. (2) The list of questions and answers
Quality Assurance Review Panel, arranging for further clarification by the person under consideration. 1The Quality Assurance Review Panel under Paragraph 1(2) shall consist of a group of experts, at least
has an interest, whether directly or indirectly, in such mutual fund or management company in a manner that may cause unfair, non-impartial and non-independent in arranging the mutual fund rating; (8
needed for making investment decisions to clients, as well as arranging clients’ information in support of the management company ’s consideration of the application thereof, and providing consultation to
to the management company for considering an approval; (2) disclosure of information or documents needed for making investment decisions to clients, as well as arranging clients’ information in support
of electricity or communication in many areas, by allowing every units to participate in arranging the BCP for their own critical business functions. The BCP shall contain, at least, the following
arranging the BCP for their own critical business functions. The BCP shall contain, at least, the following details: 5.1 Operational procedures and resposible persons In order that companies are able to
can be promptly retrieved and inspected by the SEC Office. In arranging the giving of advice by a foreign securities business operator , a securities company licensed to undertake securities business in