been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

engagement in the securities business of investment advisory service (IA): amending the conditions for exempting from engaging in IA; adding exemption from engaging in IA for personnel of foreign business

Entities to the extent possible under Domestic Law. 2. This MoU does not create any legally binding obligations, confer any rights on any Person, or modify or supersede any Domestic Law. 3. This MoU

financial institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] o Reviewing and modify updatable by having a risk

provision: “(5) borrowing in the name of the mutual fund or creating any encumbrances on the assets of the mutual fund, except entering into derivative or engaging in the transaction in accordance with the

offering in accordance with the relevant Thai laws and regulations. Withdrawal of approval 24. The SEC may at any time review a Hong Kong Covered Fund’s approval and may modify, add to or withdraw any of the

Fund’s authorisation and may modify, add to or withdraw any of the conditions of such authorisation, or withdraw the authorisation, as it considers appropriate. Sale/distribution, offering documents

modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple investment

Notification is to modify the rules concerning the preparation of reports on provident fund management and the calculation of investment limits of provident funds in respect of the provident funds with multiple

Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short- term investment shall not be made