with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for a client to obtain
Credit Rating Agencies Approved to Issue Credit Rating for Instruments Subject to Rules Concerning Issuance and Offer for Sale and Investment of Funds
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)
agents (natural persons); 4. Financial advisors, marketing agents of private funds/credit rating agencies for mutual funds; 5. Supervisors, custodians, marketing agents of private funds/credit rating
ตารางแสดงอันดับและสถาบันจัดอันดับความแข็งแกร่งทางการเงิน (financial strength rating) ที่สำนักงานยอมรับ (แนบท้ายประกาศ สน. 21/2563)