have subscribed for those structured notes. Clause 10/11 In cases where any of the following grounds for suspicion appears to the SEC Office, the SEC Office shall not approve, suspend or revoke the
their inability to comply with the rules or conditions to be exempted; (3) the Thai government agencies adopt other measures that are sufficient and a substitute for their non-compliance with the rules or
measures that are sufficient and a substitute for its non-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, consideration shall be given to the
in its inability to comply with the rules or conditions to be exempted; 5 (3) the foreign entity who submits the application adopts other measures that are sufficient and a substitute for its non
adopts other measures that are sufficient and a substitute for its non-compliance with the rules or conditions to be exempted. In granting an exemption under Paragraph 1, consideration shall be given to
/ zero-emissions solutions are possible within a reasonable timeframe - transition should be towards those solutions. For others, there are no such solutions. Instead, substitute low-emission activities
the manner that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
released financial reporting standards, or auditing standards. - Set out the policies to control and track the absent personnel or require the absent personnel to take the substitute course within the
securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its