. Clause 10. In the case where it appears later to the Office that securities company violates or fails to perform in compliance with this notification or the service provider does not have qualification as
ภาคเอกชนอื่น -> credit rating ต่ำกว่า investment grade company limit ≤ 20% หรือ benchmark + 10% (ข้อ 61 และข้อ 69 ประกาศ สน. 24/2552) ≤ 15% หรือ benchmark + 10% (ข้อ 62(2) ถึง (8) และข้อ 69 ประกาศ สน
) ……......... 10. Number of companies for which the applicant has affixed signature in giving opinion on their financial statements over the past 5 years: Year of signature affixed Number of companies Affiliated
insurance company; (9) mutual fund; (10) private fund managed by a securities company for the investment of ultra-high net worth investors, high net worth investors or investors under (1) to (9) or (11) to
to clients from those responsible for making decisions on securities trading for the securities company . Clause 10 A securities company shall separate work units and personnel responsible for
shareholders, and that of the subsidiaries for the Company. 10. Management structure 10.1 Board of directors Identify the directors and the controlling persons (if any), and specify clearly if any director is
client or client’s authorized person. Clause 10. A securities company shall not utilize the client’s assets for the benefits of other clients, other persons or for itself unless it receives an order or
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
customers’ consent. Clause 10. The management company, as a party entrusted to manage a fund, shall manage the investment using its best effort to protect its customers’ interest, take into account and
operation of investment management of funds only if the outsource operator is an affiliated company or financial institution; (10) investing abroad for funds only if it is necessarily for operating business