without license or registration, unless the penalty under the final court decision has been released for at least 10 years; (12) Directors, executives and major shareholders of the
Pursuant to the SEC’s rules, all Thailand ESG Funds are required to invest in companies operating sustainably and receiving SET ESG Ratings as eligible assets* at an average proportion of at least 80
exchange of information on violations of relevant laws and regulations.? At least two Thai residents serve on board of directors, of which at least one director is independent director and audit committee
undertaking of foreign collective investment scheme at least in the following matters: (1) person responsible for undertaking of foreign collective investment scheme shall submit to securities company
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
termination of the offering for sale of units of a collective investment scheme in the home jurisdiction, at least one month’s notice shall be provided in advance before the effective date of the merger or the
waivers and an approval to prevent events of default under the terms and conditions, as follows: (1) Granting a waiver for the company’s inability to close the bondholders' register at least 14 days
Short-Form report of the shares offering results must be submitted at least two (2) business days prior to the first trading day of the shares or within 30 days after the closing date of the offering
crowdfunding; (2) Requiring bondholders’ representatives to have paid-up registered capital of at least 25 million baht, which is comparable to securities companies maintaining clients' assets in