action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information
infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN
of the SEC Office (if any) and/or the conditions for the Stock Exchange of Thailand’s acceptance of securities (if any), including the compliance with such obligations or conditions in the following
characteristics as described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any action below shall be deemed that the issuer or the offeror
.: _____________________________ In case the ARFP Passport Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF), please state the names of market maker
Fax No.: _____________________________ In case the Hong Kong Covered Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names of the directors, executives or
information security incident management without delay; (3) put in place a disciplinary process to take action against any employee who has committed an IT security breach. Additional Guidelines 1. The examples