Rules for Being Settlor and Trustee of Real Estate Investment Trust
Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies
Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Being Settlor and Trustee of Real Estate Investment Trust (Codified)
Following a complaint in 2023, the SEC conducted an investigation, coordinated with the DSI and found evidence that, during 2020, four directors and executives of NUSA, namely (1) Mrs. Siriya
and evidence as considered appropriate within the time as specified by the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such applicant does not
documents and evidence as considered appropriate within the time as specified by (Translation) 4 the Office. If the applicant fails to comply or proceed as being required, the Office shall deem that such
submission of documents evidence as proof of having such experience; (3) being a manager of the management company or holding any position from second to manager down to department director who take