Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
างประเทศ ที่ไดรับ rating (ขอ 53) 2 อันดับแรก (Issue size limit 20% ของแตละ issue สําหรับ กองทุนเปด ยกเวนกองทุนเปด auto redemption ) No company limit (2) ตราสารภาครัฐตางประเทศที่ไดรับ rating
confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, 3 which specifically stipulate a position limit of their clients, the
responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units 3.2 Investment
repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position
repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
suggestions, please email aunchisa@sec.or.th and archari@sec.or.th. Thank you again for your kind contribution. 1. Aggregate limit of 3 million baht on total investments in ICOs by each retail investor in any
deficiencies in those elements. - Conduct proper resource planning prior to accepting the engagement to ensure that the human resource to deliver quality audit would suffice. - The firm’s leaders constantly