) Statistics (Dashboard) Enforcement Fundraising/Listed Companies Securities Issuing Companies Takeover Professionals Intermediaries Analysts / Investment Consultants ISIN Code Investor Alert Investor Alert

urges investors wishing to invest in derivatives to deal with licensed companies only for proper legal protection. The licensee list can be viewed at the SEC website - www.sec.or.th. In case of

Co., Ltd and its affiliated companies’ operating income for six-month period which ended on June 30, 2019 was ฿ 395.52 million, has decreased from the same period last year by ฿ 5.85 million or 1.46

Public Co., Ltd and its affiliated companies’ operating income for nine-month period which ended on September 30, 2019 was ฿ 576.58 million, has decreased from the same period last year by ฿ 37.98 million

according to appropriate periods to facilitate the SEC’s performance of duties under the law for public interest or investor protection;  (2)  Revising the reporting forms of clients’ assets and transactions

regulations governing primary listing of Thai companies on HKEX. Therefore, any Thai company wishing to have its securities listed on HKEX must meet all requirements with an emphasis on investor protection

To ensure that asset management companies primarily manage funds for the investors’ benefits,  SEC has revised the regulations in order to control and monitor mutual fund management by requiring

Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund

Interest |- Securities Lending / Credit Balance (Section 102) |- Protection of Customer Assets (Section 98(3))    Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel

& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities