comply with the rules, conditions and procedures prescribed and notified by the SEC Office. Clause 9 The applicant may submit information or documents in either Thai or English to the SEC Office to apply
information about investment of a fund. Clause 4 A person who may be appointed by an investment management company as a fund manager shall meet the following requirements: (1) not being a director, executive
has considered additional facts and the study results of the changed cost structure. It was found that the continuation of the project on the basis of the existing guidelines could result in offering no
for Submitting Information or Documentation _________________________ Clause 5 The submission of information or documentation to the SEC Office shall be in compliance with the following rules. In this
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an offer for sale of securities or
departmental manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
ETF: (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information