SEC has observed that the credit rating process of inter CRAs, in certain cases—such as bonds with complex structures—differs from that of domestic credit rating agencies. In practice, inter CRAs
intermidiary’s personnel who perform such functions and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF
the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF and
Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company _____________ By virtue of Section 16/6 of the Securities and Exchange
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
Capital Market Supervisory Board No. TorChor. 20/2551 Re: Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets _________________ By virtue of Section 16/6, Section 89/1