money laundering or any other similar law within three years from the date of such court order. [ ] Yes [ ] No [ specify director or executive’s full name ] Apart from the characteristics mentioned above
other businesses apart from services relating to investment in and transaction of capital market products , the intermediary shall control the services in compliance with the following rules: (1
and reliable information, and without misleading information. Clause 29 In case an intermediary has other businesses apart from services relating to investment in and transaction of capital market
the agreements having a material impact on the management or controlling power or allocation of remunerations apart from the allocation based on shareholding percentage. 11.5 Inside information policy
period of 3 years prior to the application date. - ( Except having passed the CISA Level 2 or higher 4 apart from having academic background as specified in 1-3, having been approved or registered to
material impact on the management or controlling power or allocation of remunerations apart from the allocation based on shareholding percentage. 9.5 Inside information policy Describe the Company’s policies
highly critical information systems, penetration testing shall be carried out at least once every three years and upon any material change to such systems; 2. for critical information systems apart from
in the interest of investor protection or to ensure the uniformity of operating standards. Clause 9 Apart from what specifically prescribed earlier, the SEC Office shall have the power to prescribe
accordance with this notification and its guidelines specified for implementation in accordance with this notification. Clause 28/1 Apart from stated in this, the SEC Office has the power to issue any specify
หรือวัด เป็นต้น (2) การดำเนินการกรณีการเกินสัดส่วนการถือหน่วยลงทุนอันเนื่องมาจากการถูกอายัดทรัพย์สินตามกฎหมายอื่นที่กำหนดให้ ทำบัญชีและแยกเงินปันผลส่วนดังกล่าวออกจากทรัพย์สินอื่นของกองทุนรวม (“set aside