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
No CS 03/2018 February 21, 2018 Subject Declaration of Operational Results for the Year 2017 Attention Directors and Managers The Stock Exchange of Thailand For the three-month period ended December
leveraging digital technology to enhance service delivery and continuously improve operational efficiency, with key achievements in 2024 including: - Providing comprehensive digital services
? financial status and operational result.? Besides, the SEC allows type 1 property fund to borrow for investment only for another year after REIT regulations come into force. ?The SEC Board agrees to define
กองทุนตามท่ีประกาศก าหนดได้ ส านักงานพิจารณาแล้วเห็นควรทบทวนหลักเกณฑ์ดังกล่าวให้มีความเหมาะสมมากขึ้น โดยค านึงถึงความเสี่ยงหลักของการประกอบธุรกิจ กล่าวคือความเสี่ยงด้านปฏิบัติการ (operational risk) ซึ่ง
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and
operational system of the Office of the Securities and Exchange Commission. Clause 2. This Notification shall come into force as from 16 August 2007. Notified this 25th day of July 2007. (Mr. Thirachai