. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
under the Securities and Exchange Act B.E. 2535 is hereby repealed. Clause 2 Person intending to apply for operate securities business license in the category of mutual fund management shall be limited
Ngern Tid Lor Public Company Limited Ngern Tid Lor Public Company Limited offer to sell newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office which is
) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 Settlement Committee Meeting No. 10/2017
., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 4/2023 Settlement
securities in the category of promissory note without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 6/2023