Future Foundation (TFF), as moderator. The seminar was organized by TFF under the endorsement of the Capital Market Development Fund (CMDF) with the main objective of sharing perspectives and guidelines
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analyst will be allowed to cover no more than 15 securities in average; published research must be updated at least 4 times a year; brokers must put in place control over quality of investment research and
market business are persons registered with the Stock Exchange or the derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if
____________________________________________________________________ ____________________________________________________________________ 8) Does the investment policy and investment strategy of the foreign ETF comply with the Notification of the Capital Market
foreign ETF comply with the Notification of the Capital Market Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund
Knowledge Refresher Criteria for investment analysts. The goal is to enhance the knowledge refresher process to better align with their roles and responsibilities. The Capital Market Supervisory Board has
place of trading. In addition, the regulation writing method has been simplified through the use of diagrams and tables to facilitate asset management companies’ better understanding and proper
in the future. The key objective is to put in place a new licensing regime whereby a more specific type of license could be issued to be in line with the applicant's business model. This aims to
have an impact on the overall capital market, with the provision that the business operators must select a service provider from the list of service providers approved by SEC. In addition, the draft