financial institution regulated by the SEC, audit firm with the SEC approved auditor and the Stock Exchange of Thailand (SET) or its subsidiary whose shares are held by the SET at least 75%, business operator
business operator, (iii) an audit firm where the SEC-approved auditors work, (iv) the Stock Exchange of Thailand or its subsidiary whose shares are held by the SET at least 75%, or (v) a service provider
minimum size of infrastructure trust is set at 10,000 million baht, providing further that if investing in two or more projects, the size of each project must be at least 3,000 million baht. For units of
revision specifies that retail investors and investment management organizations for individual investors must collectively hold at least 50 percent of the total investment units sold, and at least 25
manager and at a minimum there shall be a responsible person in the function relating to the management of the properties of the trust and there shall be at least two persons who are qualified as follows
November 20, 2018 Subject: Clarification of decrease in share price Attention: President Stock Exchange of Thailand Reference is made to inquiries of the Stock Exchange of Thailand concerning the movement of
short sale; (4) collect the information and evidence of each client in a separate folder which shall be updated on a regular basis; (5) review the client’s limit under (1) at least once a year or upon any
, by at least conducting the following tests: (1) a daily stress test using the scenario, parameter and assumption conforming to the guideline approved by the risk management committee which shall cover
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned