fund rating, it shall also comply with Clause 2/1: (1)4 providing a complete work system ready to undertake the business of investment advisory service approved by the Office, which includes an internal
requirements under this Notification. Clause 5 In outsourcing operational function to a third party, an intermediary shall comply with the following rules: (1) the outsourcing of operational function to another
Notification. Clause 5 In outsourcing operational function to a third party, an intermediary shall comply with the following rules: (1) the outsourcing of operational function to another intermediary shall be
approved by the Office and have qualifications as prescribed by the Office, conduction such function. In this regard, the securities company shall comply with the rules prescribed by the Office and shall
comply with the rules prescribed by the Office and shall supervise the investor contacts to perform the duties in accordance with the rules prescribed by the Office. Clause 11.13 Repealed. Clause 12.14
] raise fund after the foreign company has become a listed company shall conform to the following rules: (a) the foreign company which is not a CLMV company under (b) shall comply with the rules related to
. In this regard, the securities company shall comply with the rules prescribed by the Office and shall supervise the investor contacts to perform the duties in accordance with the rules prescribed by
Exchange of Thailand, a securities company shall comply with this Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company may engage in short selling of ETF
underlying shares of ETF in the Stock Exchange of Thailand, a securities company shall comply with this Notification and the rules as prescribed by the Stock Exchange of Thailand. Clause 5 A securities company