Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) PAGE (UNOFFICIAL TRANSLATION) - 11 - Readers should be aware that only the original Thai text has legal force and that

Notification of the Securities and Exchange Commission (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly

Principles of Corporate Governance - G20 version G 20/O E C D P rin c ip le s o f C o rp o ra te G o ve rn a n c e G20/OECD Principles of Corporate Governance ENG_Corporate Governance

opportunities for established and potential business operators to maximize the use of FinTech in developing financial and investment services with less legal limitations and more efficient information access.SEC

SEC plans to revise the criteria on the maintenance of the net capital (NC) of securities and derivatives business operator. SEC has, therefore, conducted a public hearing on this matter, in

The SEC is proposing to amend the regulation on filing the application for establishment and management of mutual funds by allowing electronic submission of all required documents through the Online

SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to

Acquisition or Disposition of Securities ( 286 ) SEC_News ( 238 ) List of Approved persons / Licensees ( 228 ) Enforcement ( 195 ) Form 59-1 / 59/2 ( 152 ) Derivative Warrant Prospectus ( 100 ) Finanacial

establishment of fund rating agency (FRA) in order to promote comparative data among mutual funds so that investors can get better information that will benefit their investment decisions ● Registered 3,388

therefore most suitable for investors who prefer less risky investment. Guaranteed Fund - This is similar to any other types of fund except there is a guarantee that investors will get the principle of their