paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean time, the securities company may assign an officer of the head office
. In case of absent of the branch office manager under the first paragraph, the derivatives brokers shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the
within one month unless obtain a waiver from the Office. In the mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
foreign ETF comply with the Notification of the Capital Market Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund
in support of the campaign, “One of the SEC key strategic goals is to encourage people to save and invest in the capital market for their good financial health and long-term financial goals. We are of
(20%) Company 72 89 (19%) TBSP (1) - (100%) THB million 9M18 9M17 %Chg As Reported Total NP 458 252 82% Company 267 252 6% TBSP 1 - 100% One-time gain * 214 - 100% One-time loss A) (24) - (100%) * One
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or