protection of investor (ESOP rules). It must be approved by the shareholders' meeting and the sale must be completed within one year after the date of approval. It must submit checklist to the SEC with the
follows: Subjects High Net-Worth Investors Retail Investors 1. Application for sale of the units and submission of the filings the offeror + FA together submit the application and certify the
Capital Market 2.1.1 Filing of Application Auditor wishing to file an application for approval with the SEC must submit the application to be auditor in the capital market (Form 61-1), along
follows: Subjects High Net-Worth Investors Retail Investors 1. Application for sale of the units and submission of the filings the offeror + FA together submit the application and certify the
application for offer for sale of units. A Financial Advisor (FA)* is required to jointly submit the application and certifies the correctness of the information. ** In case that the RM manages other REITs
documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form
only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form 35 – foreign ETF to the SEC Thailand for the
documents for an approval of Foreign ETF (for inbound only) A CIS Operator must submit a completed Form 35 – foreign ETF in hard copies accompanied by all supporting documentation as specified in Form
of Mutual Fund 17. Dividend payment A mutual fund may pay dividends from its retained earnings or net profits in the accounting periods that the mutual fund have retained earnings or net profit
of Mutual Fund 17. Dividend payment A mutual fund may pay dividends from its retained earnings or net profits in the accounting periods that the mutual fund have retained earnings or net profit