to violate section 246. SEC Act S.246 in conjunction with section 86 of the Penal Code Settlement Committee Meeting No. 9/2018 Settlement Committee Order No. 30/2018 Dated 26/09/2018

inquiry official. SEC Act S.65 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 17/2020 Dated 20/05/2020

destination funds during the fiscal year was less than the average proportion specified in approved fund management project. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

) ................................................................................................................................................................ 2. Type of the Applicant:  Juristic person established under Thai Law  Limited company  Public limited company  Stock Exchange of Thailand  Over-the-counter trading center  Association related

According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that 14 individuals had engaged in THE trading orders in a manner consistent with

are provided to ensure that executives and employees perform the duties with integrity and ethics: 1.2.1 Appropriate code of conduct for executives and employees; 1.2.2 Prohibitions on any actions by

เอกสารรับฟังความคดิเห็น เลขที่ อสภ.39/2559 เร่ือง หลกัธรรมาภิบาลการลงทุน ส าหรับผู้ลงทุนสถาบนั (Investment Governance Code: I Code) เผยแพร่เม่ือวันที่ 29 สิงหาคม 2559 ส านักงานได้จดัท าเอกสารฉบบันี้

representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and

Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and strategy Calendar year performance and benchmarks over the past

local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation