by an auditor approved by the Office as per the Office’s notification governing approval of auditors. An exception is for the mutual fund that offers all investment units to non-Thai residents (country
by an auditor approved by the Office as per the Office’s notification governing approval of auditors. An exception is for the mutual fund that offers all investment units to non-Thai residents (country
, Derivative broker shall not appoint any other person to provide the service exception where the service provided from customer contact person for Derivative broker and outsourcing services according to the SEC
service exception where the service provided 13 As amended by the SEC Office Notification No. Kor Thor 25/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 3) dated 25
service exception where the service provided 13 As amended by the SEC Office Notification No. Kor Thor 25/2549 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker (No. 3) dated 25
investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in accordance with the criteria prescribed and notified by the SEC Office; (5) in
derivatives broker shall not represent any fixed rate of profits or returns on investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in
derivatives broker shall not represent any fixed rate of profits or returns on investment or represent that there shall no loss on investment at any fixed rate, with the exception of a representation given in
, including if applicable, exclusion criteria; and also disclose any green standards or certifications referenced in project selection. • Have a process in place to identify mitigants to known material risks of
focus on sustainability also often have exclusion criteria and minimum requirements with respect to ESG performance. Investors may take into consideration the broader conduct of the issuer in order to