Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th

Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

างประเทศ ที่ไดรับ rating (ขอ 53) 2 อันดับแรก (Issue size limit 20% ของแตละ issue สําหรับ กองทุนเปด ยกเวนกองทุนเปด auto redemption ) No company limit (2) ตราสารภาครัฐตางประเทศที่ไดรับ rating

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to

category of derivatives broker or derivatives dealer; “investment limit” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC Office by the

the investment 3 limit specified in the rules issued by virtue of the Securities and Exchange Act B.E. 2535 (1992): (2) provision that the management company shall prepare an account and separate the

following securities business licenses: (1) license to undertake securities business in the category of securities brokerage without limit to debt securities or investment units; (2) license to undertake

concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning