outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules for considering Associated Persons 3. Procedure to comply with the limitations (the case
outstanding units for any person or any Associated Person. The restrictions are exempted in the following cases: 2. Rules for considering Associated Persons 3. Procedure to comply with the limitations (the case
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
at large in Thailand. The infrastructure entity under IFF shall not sell products/services more than one-third of its maximum capacity to an individual client, or to a group of associated persons
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
) have measure to control and manage risks associated with business operation; (4) have effective measure on internal control with respect to business operation; (5) have operational system promptly for
associated with proprietary trading must be reduced, and client positions are to be transferred to other operator ( s ). Regulatory Summary Related Rules and Regulations Related Forms SHARE : For More
. Restrictions for unit holdings - any persons or a group of the associated persons not more than 50% of the total trust units sold. - trust manager can allot units for the trust manager, directors, executives
code of ethics and regulations; provisioning the audit quality control system in compliance with International Standards on Quality Management 1 (ISQM 1); monitoring associated auditors who are attached
. Restrictions for unit holdings - any persons or a group of the associated persons not more than 50% of the total trust units sold. - trust manager can allot units for the trust manager, directors, executives