] contract or agreement: (1) derivatives agents; (2) derivatives dealers, unless the clients are institutional investors under Section 3 of the Derivatives Act B.E. 2546 (2003) and the Notification of the
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the
, excluding the following businesses: (a) securities borrowing and lending business; (b) mutual fund management for foreign investors. (2) person licensed to undertake derivatives business in the category of
เงินกองทุนชั้นที่ 1 ต่อสินทรัพย์เสี่ยง อัตราส่วน เงินกองทุนทั้งสิน้ ต่อสินทรัพย์เสี่ยง V2 27/08/63 16 อันดับความน่าเชื่อถือ ณ วันที่ 30 มิถุนายน 2563 สถาบันจัดอันดับความน่าเช่ือถือ Moody’s Investors
interests of investors; (2) the branch office has serious fault in its operating system; (3) the management company is unable to maintain the qualifications or it has a statutory disqualification as
branch office: (1) it appears that the branch office operates with dishonest and without due care to the interests of investors; (2) the branch office has serious fault in its operating system; (3) the
----------------------------- Clause 15. Where it appears to the Office that the operations by a full-service branch office, online branch office or branch office in foreign countries may cause damages to investors, or the securities