) distributing products or providing services to the state entirely; (d) selling products or providing services, either entirely or partially, to a private sector whereby such sale of products or provision of

from the number of contracts under the licensee ’s service on the Derivatives Exchange. In case of single stock futures at the price not exceeding 100 baht, the licensee shall pay the fee at the rate of

ประเทศ -> หน่วยกองอสังหาฯ และตราสาร REITs single fund limit ≤ 10% ; total fund limit ≤ 20% (ข้อ 74 ประกาศ สน. 24/2552) single fund limit ≤ 15% (ข้อ 62(6) ประกาศ สน. 24/2552) single fund limit ≤ 15

into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

description of each product line or business group shall contain at least the information in 2.2.1 to 2.2.4 hereunder. (In case of a single product line, the separate description is not required and the

) review of suitability of (1). In the case that the intermediaries have fully complied with the Guidelines under the first paragraph, the SEC Office shall consider that the intermediaries have already

and completely. Clause 10. In the case where the securities company uses an information technology of the outsider provider, the securities company shall determine a measure for selection and

_____________________________________________________________________ 5. I/We affirm that the ASEAN CIS is completely in compliance with Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to Approval, Valuation, and

, risk and return of services or capital market products entirely before making a decision to use the services; (6) not urge the client to make a decision to invest [in capital market products ], but shall