as an attractive venue for local and regional fund mobilization by streamlining the securities offering and ongoing process which includes pre-fundraising screening, effective trading monitoring system

Operator หรือ ตัวแทน (“local representative”) ซ่ึงเป็น ผู้ยื่นค าขอตรวจสอบลักษณะหนว่ยของ ASEAN CIS ในประเทศไทย (“ผู้ยื่นค าขอฯ”) จะต้องระบจุ านวนเงนิทีจ่ะ เสนอขายในประเทศไทยเป็นสกลุเงินบาท และระบุช่ือ ผู้รับ

. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106

bond and social bond, to promote local reviewer/ assessors, to make ESG standards available in Thai for ease of access, to encourage the establishment of an ESG information center to facilitate

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:  (1) Prohibiting local securities companies from accepting orders of purchase

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:       (1) Prohibiting local securities companies from accepting orders of

rating reports to the local public. The voluntary rating means more regional scale rating information, which would contribute to the Thai capital market policy to promote foreign investment for risk

Bank /*# %B`&* ". $% /*( Custodian Bank )# TCR Issuer 0G"H

companies from the Bank of Thailand; 2. Letters seeking legal opinion and invitation letters for seminars; 3. Research, risk monitoring from Bloomberg. ✓ 1.2 Sources of personal data The SEC Office receives