by the intermediary. Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets, the SEC Office shall settle such assets with the official

to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account was found to be

transactions with such clients without calling the original number or pursuing any other means to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the

shares to the existing shareholder (Rights Offering) also has restrictions on the uncertainty of the funding to be raised as the Company might not receive full support from 7 The said interest amount is

addition, an issue and offering of newly issued shares to the existing shareholder (Rights Offering) also has restrictions on the uncertainty of the funding to be raised as the Company might not receive full

uncertainty of the funding to be raised as the Company might not receive full support from the existing shareholders in the subscription of the Company’s newly issued ordinary shares or the existing

- best-practices 9 Southeast Asia in 2023: Economic Resurgence with Climate Change Uncertainty: https://th.boell.org/en/2023/01/31/southeast- asia-2023 10 ASEAN risks losing 35% GDP by 2050 from climate

to investors in both jurisdictions in terms of the form which that notice takes6. 20. For avoidance of doubt, changes that render the Hong Kong Covered Fund ineligible under this MRF (for example – the

has been created for fund managers to screen listed companies for investment. This entire process demonstrates the commitment of AMCs and Thai ESG Funds. Investors can rest assured that their

20T H ANNIVERSARY 1 Securities and Exchange Commission, Thailand Annual Report 2012 SEC ANNUAL REPORT 20122 THE YEAR OF CHANGE The year 2012 was the time for change to become the visionary partner whose balance between proactive and preventive approaches has led to stakeholders’ confidence in the Thai capital market. THE YEAR OF CHANGE 20T H ANNIVERSARY 1 02 MESSAGE FROM THE CHAiRMAN 04 MESSAGE FROM THE SECRETARY-GENERAl 06 SEC BOARd 09 CApiTAl MARkET SupERviSORY BOARd 12 ExECuTivE OFFiCERS 13 O...