supervision 2.6 Quality Assurance & Review Increasingly, complicated transactions in the financial market especially those in connection with listed companies and intermediaries such as securities houses have
securities issuing companies. 4. The controlling persons shall not have any of the untrustworthy characteristics. 5. No record of breaches of regulations and laws (i.e. being currently subject to a criminal
○ Merger ○ Notifications of the Association of investment Management Companies ○ Others • Private Fund Management ○ Execution of Agreements for Management and Management of Private Fund
of Thai companies, 3.1 The directors and executives shall be listed on the database of directors and executives of the securities issuing companies. 3.2 The controlling persons shall not have any of
principles or international standards. 3.2 Presribes by the Association of Asset Management Companies (AIMC) prescribes with the approval by the SEC. ( Notification of the Association of Investment Management
statements or related reports to the SEC/ SET. 3. The directors and executives shall be listed on the database of directors and executives of the securities issuing companies. 4. Complete disclosure of
> Secondary Market and Related Entities > Association related to Securities Business Regulations SHARE : Detail Content Related Associations The securities companies may jointly establish a non-profit
Listed Companies to Offer Newly Issued Shares through Private Placement (Codified) The Notification of the Capital Market Supervisory Board No. Tor Jor 73/2558 Re; Particulars of Notice Calling