, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to

Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please

foreign ETF comply with the Notification of the Capital Market Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund

brokerage commission, the SEC Board laid out a principle to liberalize the securities business within five years. Starting January 1, 2012, the SEC will accept applications for new securities licenses. In

SEC had proposed, in principle, to amend the definition of major shareholder of the securities companies which at present is determined based on the “number of voting shares” to the “number of

fund rating business which can be shown that the rules used in the mutual fund rating are based on academic principle and reflects the purpose of mutual fund rating without causing misunderstanding to

Rule for Acquisition and Disposition of Assets of Listed Companies. This disposition of asset has the objective to generate cash for the new projects which is for the best interests of the Company and

Bangkok, January 19, 2012 ? The SEC is seeking public comments on a draft amendment to the property fund rule governing allocation of investment units which would ? through exemption of the small lot

standard, and to disclose  related-party transactions for past three years. Rule No. (1) – (4) will come into force for the filing from 1 April 2019 onward. Rule No. (5) will be in effect for the filing

operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval