. In the case where the SEC Office considers that an applicant has properly and fully met the requirements under Clause 3, it shall submit the matter to the Securities and Exchange Commission for

, provided that any of the following conditions is met: (a) the intermediary is unable to dispose of the assets of the open-end mutual fund based on a reasonable ground; (b) the intermediary is able to

met, or an approval is granted by the mutual fund supervisor or a consent from the client or the provident fund committee, as the case may be, is received for the case specified in Clause 16 or Clause

fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a license within sixty days from the date on

a lapse of the period of time as specified in Clause 12, or if the conditions as stipulated in Clause 12 have been met, the Office shall not further consider such behaviors which are deemed to be any

meeting with clients when an account is opened / the first transaction is processed, provided that the following criteria are met: (1) the financial institution is under supervision of a financial regulator

considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for consideration of issuing a

TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...

after such conditions are met, the Office shall not bring the record of such act which causes revocation of approval into the consideration of the next application for approval for such person. Clause 13

(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...