rights in that meeting. The SEC considered the action as deprivation of shareholders? basic rights, affecting market confidence and international recognition of corporate governance of Thai listed
maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
academic stages for interesting issues for exchange of views, and supports development and application of innovations and technology in capital market processes. SEC will monitor progress in aspects and
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Securities Business For Which an Approval Is Required _____________________ By
in order to oversee a juristic person or business over which one has the management power or operates under one’s supervision. The acts of the three persons stated above constitutes a failure to
capital market, investment management, or branch management of the applicant; (c) work related to control, supervision and management of business units concerning operation, compliance, internal audit or