With reference to a public hearing on the proposed revision to the IT Standard conducted between 14 June and 15 July 2024, the SEC received a wide range of valuable responses from stakeholders. The
concerning operation of securities business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no
business of the securities company, and risk management system to prevent damage from all risk in undertaking securities business in order to be in the level that has no effect on businesses of securities
effective system to prevent such conflict; and (b) the most recent financial statement of the applicant shall be audited with an opinion of auditor approved by the SEC Office. 6 Amended by the Ministerial
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand
company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for
operating system for monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its