that may fall under the category of investment company, and to ensure that their operation does not demonstrate the objective of seeking investment returns for investors in a similar manner to operating
of the year that such solicitations occurred. * Please note that CIS Operator who is offering foreign ETF in Thailand will have to comply with the requirements of the Stock Exchange of Thailand
Thai baht; 3) Not having the characteristics of structured notes ( except there is a put option or the convertibility requirements); 4) In case of subordinated instruments that are convertible, the rates
may also be submitted to SEC Complaint Center. The list of the licensed intermediaries is available here . ● A claim for damages should be made directly to the compliance unit of the company in
Stock Exchange of Thailand. An FA is obligated to ensure that the companies disclose thorough, accurate and sufficient information for investors in making decisions. An FA is required to provide opinions
-third of its maximum capacity to an individual client, or to a group of associated persons, in case that the buyers/end users of product/services are not the government agencies. This is not applied on
trustee account; ensure that the units are not allocated to investors who are not high net-worth, in case of offer for sale solely to high net-worth investors; oversee to prevent the trust from becoming a
are available in the AGM Checklist). 2. The Thai Investors Association assigns AGM volunteer observers to participate and assess the AGM quality of listed companie s. Assessment Results SET
participating and voting at shareholder’s meetings on the basis of sufficient notice and information, directors who are shareholder should not be allowed to add items to the meeting agenda that have not been duly
be selected from the candidates who have good understanding of the company’s business and are able to keep the Board of Directors, executives and shareholders well-informed by internal and external