, accepting listing and delisting and supervising securities businesses by approving rules issued by the Bank of Thailand, issuing and revoking licenses for securities business undertaking. Meanwhile, the Bank
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
working hours of the associations for inspections. The related persons should facilitate assistance and convenience reasonably. The associations shall prepare and maintain a copy of a membership register at
considered as executive as well. Therefore, both Manager Z and Assistance CFO Y are regarded as “executives". Acts and Royal Enactments Ministerial Notifications Rule Making Process Regulations Ministerial
-off or any other matters of unfair treatment against such person because the said person: (1) gives information, cooperates or gives assistance by any means to the SEC, the Capital Market
throughout the term of the bonds. 4.3 There is no ground to suspect that the lead regulator of the capital market of the country wherein the issuer is established is unable to provide an assistance to the SEC
the country wherein the issuer is established is unable to provide an assistance to the SEC Office. 7. No record of breaches of regulations and laws (i.e. being currently subject to a criminal complaint
-off or any other matters of unfair treatment against such person because the said person: (1) gives information, cooperates or gives assistance by any means to the SEC, the Capital Market
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or