instrumentality of a government; or a company, corporation, partnership, trust, estate, or association. similar product. product or transaction that has inherent credit risk. rated obligation. THE IOSCO CODE OF
) ................................................................................................................................................................ 2. Type of the Applicant: Juristic person established under Thai Law Limited company Public limited company Stock Exchange of Thailand Over-the-counter trading center Association related
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
บนัจดัอนัดบัความน่าเช่ือถือท่ีไดรั้บความเห็นชอบตามหมวดน้ี ตอ้งด าเนินการให้เป็นไปตามหลกัปฏิบติัในการประกอบธุรกิจการจดัอนัดบัความน่าเช่ือถือ (Code of Conduct Fundamentals for Credit Rating Agencies) ท่ีก า
securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system
registration statement for securities offering, or the rules, conditions and procedures for share offering of a limited company in accordance with the Civil and Commercial Code in a general case or to the
Company Limited Factsheet Information as of XX XX XXXX ABCD Mutual Fund Unit Class SRI Fund Class code Type of mutual fund / Peer group of mutual funds Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile
irrelevant person from entering the area for executing trading transaction orders. Clause 5 A securities company should specify a code of conduct clearly in writing, whose contents should include acceptance of