Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's

funds that may not have already accepted retail investors. Previously, mutual funds were allowed to invest in SET-listed infrastructure funds or those offerred to retail investors only; (3) Relaxation of

Responsible Investing Fund (SRI Fund) is a mutual fund with an investment policy focusing on investment in securities of businesses that operate sustainably according to internationally accepted principles

is now for the securities market. In 2001, the Parliament has accepted in principle the draft Derivatives Act which is now under consideration of the Parliamentary Committee

following conditions and have been passed for not more than 2 years as of the application date: 1.1 organized or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In

or accepted by the SEC Office; 1.2 internationally organized and accepted by the SEC Office. In this case, an additional examination on related rules is required. 2 CFP Module 1 (fundamental financial

: “securities holder” means any securities holder accepted by the securities registrar. “client” means any securities issuer accepted by the securities registrar. Clause 2. In providing services as securities

made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted

conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those

management, etc. 22 The eligible courses must meet any of the following conditions and have been passed for not more than 2 years as of the application date: 1.1 organized or accepted by the SEC Office; 1.2