Investor Return – Mind the Gap ©2015 Morningstar, Inc. All rights reserved. Kittikun Tanaratpattanakit Investor Return – Mind the Gap Agenda 2 gBackground g The Real Test is Whether Investors Succeed

highlight investor protection measures through our proposal of the draft Amendments to the SEA, which were approved by the National Legislative Assembly in December. We also put forward other legislations

Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider By virtue of Clause 27/1 of the

the Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider

the termination of appointment of the manager of infrastructure within fourteen days from the termination date of appointment. Clause 5. Management company shall disclose a list of managers of each

Microsoft Word - 2_Company Account AˆˆAI"@%4ˆ1 5_20211124 - kdraft V2.docx 1 Application for Termination of Company Account Date: ..................................................... Attn: Secretary

the words “Provident Fund” and followed by the words “which has been registered”; (2) the location of office; (3) the objectives; (4) the procedures for admission of members and termination of

1 Application for Termination of Company Account Date: ..................................................... Attn: Secretary-General The Office of the Securities and Exchange Commission (SEC Office

shall ensure investors in both Hong Kong and Thailand receive fair treatment, including in respect of investor protection, exercise of rights, compensation and disclosure of information; and there must 1

law; (5)1 “retail client” means a client who is not an institutional investor or a high net worth investor; (6)2 “institutional investor” means an institutional investor as defined by the Notification