Government Organization and State Enterprise under the relevant incorporating law, including state-owned business enterprise which is not a juristic person; (7)3 repealed. (8) “Stock Exchange” means the Stock
common person group to sell the units held in excess of Clause 26, Clause 27 and Clause 28, as the case may be. Clause 33 The management company shall undertake as necessary to ensure that the foreign
the securities under Paragraph 1 not on behalf of the financial advisor, such person shall not work in the financial advisory unit whereas the financial advisor shall ensure that the person complies
_____________________________ Clause 41 An intermediary shall study information relating to capital market products proposed to a client , and shall have the process to ensure that a person responsible for introducing services
securities company or derivatives intermediary, 4 excluding venture capital fund management company, inter-dealer brokerage company and registered derivatives intermediary. “client” means a person who uses
that Promote Sustainable Value Creation) หลักปฏบิตั ิ3 เสริมสร้างคณะกรรมการที่มีประสิทธิผล (Strengthen Board Effectiveness) หลักปฏบิตั ิ4 สรรหาและพัฒนาผู้บริหารระดับสูงและการบริหารบุคลากร (Ensure
Establishment and Management of Property Funds; “paid up capital” means the total value of the units which are paid in full. “REIT manager” means a person who performs the duty as REIT manager in accordance with
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the