securities and exchange 2 . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short selling of the following securities in the Stock Exchange of Thailand: (1) ETF
derivatives dealer , the derivatives dealer shall engage as a counter party in derivatives trading solely with the following clients: (1) institutional investors (2) other juristic persons who trade in
, the derivatives dealer shall engage as a counter party in derivatives trading solely with the following clients: (1) institutional investors (2) other juristic persons who trade in derivatives for their
and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14, the conditions specified in Clause 15 are
company shall act in the interests of the fund and may engage in the affiliated transaction for the fund only when an approval is granted by the mutual fund supervisor for the case specified in Clause 14
leaders to further engage on the Principles for Responsible Investment (PRI) as well as the Sustainable Development Goals (SDGs). Mr. Thawatchai Pittayasophon, Deputy Secretary-General, Acting Secretary
of any breaches; ▪ Set period for divestment when permitted holding becomes ineligible; ▪ Rules governing when to engage or when to divest. 7 SEC Classification : ใชภ้ายใน (Internal) What Is ESG
Notes Description 1 Is the firm's ITGC in line with the SEC's IT guidance? Does the firm engage IT specialist to review the firm's ITGC? If yes, please describe the frequency of the review and the