issues the following regulations: Clause 1 The Notification of the Capital Market Supervisory Board No. TorThor. 49/2552 Re: Short Selling of Securities relating to Exchange Traded Mutual Fund by a
. 49/2552 Re: Short Selling of Securities relating to Exchange Traded Mutual Fund by a Securities Company dated 3 August 2009 shall be repealed. Clause 2 In this Notification: “ETF” means ETMF or foreign
for reference. Notification of the Capital Market Supervisory Board No. Tor Jor. 14/2558 Re: Provisions relating to Offer for Sale of Securities Issued by Foreign Company Whose Shares Have Been Traded
ratio summary of the mutual fund via Form 123-2 attached hereto; (5) Total fees, compensation and expenses collected from the mutual fund and unit holders via Form 123-2 attached hereto; (6) Warning on
Consultant and Director & Executive. 2023 2022 /2 Excluding the cases where the SEC Office issued warning letters which are not deemed administrative sanction /1 Including investment analyst Types of Personel
อยกวา 25 ลานบาท 2. การเปลี่ยนแปลงระดับ early warning สําหรับบริษัทหลักทรัพยและกําหนดระดบั early warning สําหรับผูไดรับใบอนุญาตเปนตวัแทนซื้อขายสัญญาฯ 2.1 กรณีบริษัทหลักทรัพย แกไขระดับ early
, and are widely exchanged or traded on exchanges. Without laws and regulations in Thailand governing these activities, there are concerns that such activities can potentially affect national financial
Entity’s compliance with Domestic Law that is administered or made by the Requesting Authority. 2. The information exchanged may, subject to any restriction on the disclosure or sharing of information under
included sukuk, infrastructure fund, foreign exchange-traded fund (ETF), real estate investment trust (REIT), foreign exchange bond, gold fund investing directly in gold bullions or in the form of gold ETF
ส้นิพเิศษ ตอ่ สนง. 4. Early warning 1.5 เทา่ กฎหมายและกฎเกณฑ ์(เกณฑใ์หม)่ พรบ.หลกัทรพัยฯ์ ม.97 พรบ.สญัญาฯ ม.49 * กลต.นพ.(ว) 30/2559 เรือ่งการจัดสง่ รายงานสถานะรายวนั 1. วัตถปุระสงค ์+เกณฑ์ 5 เกณฑข์ ัน้ต