following manners (1) the offer for sale is made to institutional investors incorporated under Thai law excep for an offer for sale under Clause 23(2). (2) the offer for sale is made to high net worth
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory
The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Exclusion of Credit Rating Agency Business from Securities Business in the Category of Securities Investment Advisory (Codified KorChor 16/2558)
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
Category of Investment Advisory Service 25/02/2016 01/04/2016 5. Notification of the Securities and Exchange Commission KorChor 1/2555 Exclusion of Credit Rating Agency Business from Securities
an exception for appropriate and efficient mechanisms to prevent a conflict of interest in place, annual financial statements approved by an auditor, and maintenance of capital reserves in accordance
Board No. Tor Thor. 60/2561 Re: Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018. Clause 2 With the exception of the provisions
, with the exception of {C} in which the suspension shall be effective from 22 April 2019. During this period, these persons are prohibited from performing duties relating to the management or acting
ชอบและโปร่งใสในการจัดการ SRI Fund และลดความเสี่ยงด้านการฟอกเขียว ได้แก่(1) กำหนดมาตรฐานขั้นต่ำของการลงทุน โดยกิจการที่เข้าเกณฑ์ลงทุนยั่งยืน ต้องไม่รวมถึงกิจการ ในลักษณะที่กำหนด (minimum exclusion