by the issuing company (“Company”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. - 2 - SEC
necessary. The regulations under this Notification set a standard for operation of derivatives clearing houses so that their services are efficient, transparent, and examinable, in a bid to promote confidence
eligible assets according to the Notification of the Capital Market Supervisory Board concerning Investment of Funds. The index is in accordance with the principle-based guidelines (having a clearly defined
efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the Thai capital
services are efficient, transparent, and examinable, in a bid to promote confidence towards, and integrity and security of, the overall financial system, and to improve the competitiveness and image of the
Clause 9, and to process and report data on level of risks incurred in securities borrowing and lending to its executives in accordance with its internal guidelines on internal control and risk management
internal guidelines on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to
Office of the Securities and Exchange Commission issued by virtue of the Securities and Exchange Law, including the guidelines, orders and circulars issued or providing guidelines in accordance with the
1 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for reference. Guidelines on Issuance and Offer for
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the