specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23 When an intermediary
wish to invest in or dispose of real estate or leasehold right of related person for the property fund, the mutual fund management company shall fulfill the conditions specified in Clause15/1 and Clause
(if any), as specified by the SEC Office’s Notification, which the intermediary shall fulfill before entering into the transaction for the purpose of transparency or fairness to the client . Clause 23
that have been or will be sold ; (2) to enable the borrower or other persons to return the securities previously borrowed; (3) to enable the borrower or other persons to fulfill any obligation in
information or internal information system are aware of and fulfill their information security responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 13 An intermediary shall create an
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
brokerage licensee shall pay the fee according to the following criteria: (1) the license fee for members of the Stock Exchange who undertakes securities brokerage business on the Stock Exchange shall be at
unit value, except where the incorrect unit value is caused by external factors which are uncontrollable, e.g., the price of securities based on the last market price by the Stock Exchange of Thailand or
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock