experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
another. SECTION 35 In cases where a trustee fails to perform the duty under Section 34 which causes the trust property to be commingled with the property held in its own capacity in the manner that it is
outsourcing to be inconsistent with the outsourcing policy under Clause 7(1) and Clause 8, or may have a material effect to the capacity or the efficiency of the outsourced function or the compliance with the
the application for approval within forty‑five days from the date of receiving the application together with correct and complete document evidences. Clause 3. In the capacity of an investment advisory
(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to
the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk
services with such ability of the client . In case the client ’ s ability to perform servicing agreement is unable to be assessed or it appears at any time that the client has restriction to perform
with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC Thailand. Part III Certification of
approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC