ที่ออกโดยบริษัทที่ได้รับการจัดอันดับ ความน่าเชื่อถือในระดับที่ต่ำกว่า investment grade หรือไม่มี rating - โดยกรณีกองทุนรวมให้เปิดเผยสัดส่วน upper limit ที่ผู้จัดการกองทุนคาดว่าจะลงทุนใน กลุ่ม (ง) สำหรับ

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

price, the management company shall proceed as follows: (a) In case of sale of investment units, the management company shall reduce the number of investment units of the relevant purchasers by the amount

/ monitored on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process

paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce

the securities company may reduce the expenditure for undertaking its business by using back office service from service provider and due to the criteria for undertaking securities business of

derivatives broker shall not reduce its paid-up capital to the extent that its shareholders’ equity is decreased unless permission is granted by the SEC. Clause 4 This Notification shall come into force from 16

; “Executives” means directors, managers, divisional manager or upper including any person who have authority as such person; “Property management person” means any juristic person which is entrusted by mutual

suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of

derivatives trading which may reduce the risk of the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on