category of mutual fund management shall be carried out by syndication of financial institution and other legal entities as specified in the Ministerial Regulation No.4 (B.E. 2535) promulgated under the
affected by tort, breach of contract or damage derived from a violation of specific law, to protect the injured persons. Accordingly, the principle of Class Action has been enacted as part of the Civil
affected by tort, breach of contract or damage derived from a violation of specific law, to protect the injured persons. Accordingly, the principle of Class Action has been enacted as part of the Civil
or trading documents Contract, trading order, confirmation note, etc. 3 Suspicion of fraud or embezzlement by listed company’s executive(s). ● Name of executive and related person/name of company
No. Title 2 Financial Institution Eligible to Apply for Securities Business License B.E. 2536 (amended by No. 16 No. 18) (Repealed) 3 Application for Separation of Finance and Securities
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
mutual fund supervisor of that fund) such as bank or financial institution incorporated under a specific law, commercial bank, finance company, securities company (broker/dealer/TSFC) or a foreign
or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons Disclose inside information to the other persons, either directly or indirectly and by
or sell securities or enter into a derivatives contract related to securities, either for oneself or other persons Disclose inside information to the other persons, either directly or indirectly and by
financial statements in compliance with the International Accounting Standards Board (IASB) or the American Institution of Certified Public Accountants (AICPA) or the Financial Accounting Standards Board