activity; ( 3) monitoring and evaluating the performance of the Fund in accordance with its objectives; (4) supervising the operation and general administration as well as issuing rules or regulations of the
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
inside information related to a securities issuing company Nature of the acts Purchase or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons
system (KYC) that are appropriate to evaluate product risks against characteristics of each customer; - separate departments or personnel responsible for customer assets safekeeping from other operational
frameworks for recruitment of officers, remuneration determination, and evaluate the performance of the Board, the Capital Market Supervisory Board, the SEC office, the subcommittee and the Secretary-General
evaluate the quality risks, how many levels are determined, and what are the definitions for each level? For example, how many level of likelihood are there, and what are the definitions for each likelihood
amendment of the regulations regarding issuing Transferable Subscription Rights (TSR) in order that listed companies will be able to issue TSR to the existing shareholders according to their shareholding
from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further
contracts on the Derivatives Exchange for 3 years from 15 December 2020; and a bar from serving as a director or executive in a securities issuing company or a securities company for 5 years from 15 December
, I hereby acknowledge that, for the purpose of rendering consideration whether to list my name onto the Issuing Company’s Director and Executive Database, the SEC Office will take the following