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
in big volumes. Such trading manipulation took place during 10-27 September 2013, causing YCI price and trading volume to be inconsistent with the normal market condition. The wrongdoing was assisted
offenders through trading accounts of different persons. Such tradings took place in concealment to mislead the public to believe that the trading volumes were substantial or the share prices genuinely
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and
derivatives exchange as an agent of a member who can place trading order through the system for trading capital market products, if such persons have breached or failed to comply with the regulations prescribed