Custody of Assets of Clients by Securities Companies

Special Holiday for Securities Companies and Derivatives Business Operators

Custody of Assets of Clients by Securities Companies (No. 3)

Custody of Clients’ Assets by Securities Companies (No. 4)

Rules and Periods for Report Submission of Securities Companies

Custody of Clients’ Assets by Securities Companies (Codified)

Bangkok, March 14, 2016 ? The SEC in cooperation with the Association of Investmeent Management Companies (AIMC) will jointly prepare Thailand: Institutional Investor Code as a guideline for

firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders

for investors and enhance competitiveness of asset management companies (AMC), the SEC conducted a public hearing in November, proposing the principles and draft notifications for the amendments to

B.E. 2530 (1987) to be in line with the International Organization of Securities Commissions (IOSCO)?s principles, and to promote active engagement of market participants regarding securities business