Microsoft Word - hearing group limit _2_.docx เอกสารรับฟงความคิดเห็น เร่ือง การกําหนดเรื่อง sector fund และ group limit สํานักงานคณะกรรมการกํากับหลักทรัพยและตลาดหลักทรัพย (http://www.sec.or.th
) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30, excluding the prohibited characteristics as a result of the execution of the SEC Office. Chapter 6 Duties of
. KorThor/Khor/Dor/Nor. 25/2553 Re: Repeal of Notification of the Securities and Exchange Commission Relating to Preparation of Securities Company’s Account By virtue of Section 14 and Section 105 of the
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 38/2559 Re: Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Operating
reference. Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 48/2559 Re: Repeal of the Notification of the Office of the Securities and Exchange Commission regarding
prohibited characteristics under Section 103 of the Securities and Exchange Act B.E. 2535 (1992) or Section 23 of the Derivatives Act B.E. 2546 (2003); (2) possessing the prohibited characteristics in Group 1
actions with respect to risk management: (1) establish a written comprehensive risk management policy framework that covers all risk areas, with approval of its board of directors or the working group