Section 95 shall not apply to a person receiving approval under this Section. However, such person shall comply with the regulations specified by the Office.

conditions as prescribed in Division 4 of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or

as put in a sealed envelop. · The user who receiving the default password or receiving a new password should change the password instantly. · The user should keep the password secret. In case of

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

. Notification of the Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit

Capital Market Supervisory Board No. TorKhor. 35/2553 Re: Rules, Conditions and Procedures for Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept

Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same

condition that the person giving advice does not receive a fee or a reward, either directly or indirectly, for such giving an opinion or sharing knowledge or experience, for example, not receiving a share of