assigned by such claimant; “SET” means the Stock Exchange of Thailand; “Office” means the Office of the Securities and Exchange Commission. Chapter I General Provision ________________________ Clause 4. The
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2
controlling the inflow and outflow of mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
conflicts of interest; (c) not be parents, spouses, brothers, sisters, children and children of spouses, either by blood or by law, of the executive, major shareholder, controlling person or candidate for the
the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least
shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset
number of eligible service users; (6) specifying a period of participating in the regulatory sandbox to be no longer than one year as from the approval date; (7) having the study or research results that
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
such products or services to clients; (c) providing an instrument or media for personnel under (a) to clarify characteristics and risks of capital market products or services to clients, as deemed