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
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
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
sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit
knowledge, understanding and experience that benefit responsible jobs. (2) having policies and rules for investment including policies and measures in controlling and managing risks from derivatives trading
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2