business operator under the Law on Derivatives; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20
suitability of investment relating to such securities; (9) “ foreign securities business operator ” means any person licensed to undertake securities business by a regulatory agency on securities and securities
securities; (9)2 “foreign securities business operator” means any person licensed to undertake securities business by a regulatory agency on securities and securities exchanges in a foreign country which is a
%, respectively. The increase in sales stemmed from sales generated from new stores, while an improvement in the effectiveness of product assortment planning led to the continued expansion of the Company’s gross
issuance and offering of financial products and services among CLMV capital markets; (5) Optimizing Digital Technology to Increase Capital Market Potential and Supervisory Effectiveness
ของประเทศที่อนุญาตใหกองทุนรวมตางประเทศเขามาเสนอขายแกผูลงทุน หนา 3 - CIS Operator ที่เปนผูบริหารจัดการ CIS (เทียบเทาบริษัทหลักทรัพยจดัการกองทุน) ตองเปนบริษทัที่อยูภายใตการกํากับดแูลของ home
may outsource to a service provider under this Chapter are as follows except the cases under Paragraph 2: (1) management of client’s right and benefit; (2) risk management only if the outsource operator
) risk management only if the outsource operator is an affiliated company; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the