Notification of the Securities and Exchange Commission No. KorThor. 24/2549 Re: Rules, Conditions and Procedures for Operational Control of Securities Underwriting dated 25 October 2006; UNOFFICIAL TRANSLATION
as follows: (1) Waiving the operational fee for licensed securities companies for converting NVDR to common shares for Thai investors, on the condition that the licensees must also waive
guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
translation is strictly for reference. 9 Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 25/2556 Re: Outsourcing Operational Function relating to Business Operation to Third Party By virtue of
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
McGillivray, speaker from CFA Institute for sharing valuable knowledge on ESG through his practical experience at a workshop and mini case study sessions with about 200 Thai professionals from the securities
systems and financial reporting standards shared experiences and perspectives on crucial preparatory topics for companies seeking fundraising. These included practical challenges, best practices in due
practical application to the context of each organization. With 77 representatives from 46 listed companies in attendance, the workshop took place on 24 July 2024, in Bangkok.Ms. Areewan Aimdilokwong, SEC