and Exchange Commission No. Sor Thor/Nor. 26/2545 Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the

For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission

shall undertake all actions necessary to vest the new trustee with the right over the trust property and to allow the new trustee to learn of the previous and onward management as well as deliver

Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment

customer complaint in the following manners: (1) considering and solving the customer complaint rapidly according to the procedures and means as prescribed in Clause 2(2); (2) notifying the results to the

and procedures for engagement supervision? which include: (a) Tracking the progress of engagement. (b) Considering the competence, capabilities and experiences of individual members of engagement team

Procedures for Outsourcing Function related to Business Operation to Third Party dated 1 October 2018, hereby issues guidelines for considering to recognize the supervisory measures on investment management of

approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum

person: Email: Warnings: An investor considering the purchase of units of foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If

material update (effective date on _____________________ ) ( Form 69 – CIS material update (effective date on _____________________ ) Warnings: An investor considering the purchase of units of foreign