Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
operations. Directors, executives, and employees, as well as related parties of the agencies under supervision, whereby the SEC Office has supervised and inspected the risks related to their business
has arranged an efficient disclosure system to ensure that the material information on REIT has been disclosed correctly and completely, and REIT manager has supervised the compliance with such
Effectiveness The chair is responsible for leadership of the board and ensuring its effectiveness. The chair should ensure a culture of openness and constructive debate that allows a range of views to be
Changes in Computer Systems relating to Trading Services with respect to Derivatives __________________ Clause 27 To ensure that the overall business operation of a derivatives exchange is supervised in an
the best interest of the company. (5) Promote a culture of openness and debate through ensuring constructive relations between executive and non-executive directors, and between the board and
efficient disclosure system to ensure that the material information of the Company and the subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3
subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the
Settlement Services with respect to Derivatives __________________ Clause 38 To ensure that the overall business operation of derivatives clearing houses is supervised in an orderly, effective, and timely
supervised by the SFC). The Securities and Exchange Commission, Thailand 333/3, Vibhavadi-Rangsit Road, Chomphon, Chatuchak Bangkok 10900, Thailand Website: www.sec.or.th Email: mrfhongkong@sec.or.th Page 11