obtaining an approval to appoint a person to be personnel in the capital market business and an application for the extension of the approval shall be conforming to the form and procedure as provided on the

Office may grant a waiver for an intermediary from complying with any rule under this Notification regarding communication with and providing services to clients on a case-by-case or temporary basis. In

appointment to be the agent in the Kingdom of Thailand shall be conforming to the rules under Clause 6; (2) in case of investment units in any other case except sub clause (1), the appointment to be the agent

the agent in the Kingdom of Thailand shall be conforming to the rules under Clause 6; (2) in case of investment units in any other case except sub clause (1), the appointment to be the agent in the

client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions (if any), as

interest for a client or is necessary and useful for the client in the situation at that time; (2) dealing the transaction similarly to arm’s length transaction basis; (3) conforming to additional conditions

case the outsourcing policy or contract fails to be conforming to the regulations under this Notification, the intermediary shall amend such policy or contract in order to be in accordance with this

fund, manual, or operating check list and performance report. 2. Fund establishment procedure should be conforming to the characteristic of the mutual fund as follow: 2.1 In the case where the mutual

of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of