referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use
the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
. 2551 (2008) , which contain certain provisions relating to the restriction of rights and liberties of persons, which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section
daily status report to the SEC Office in an excel file via email within the next business day of the daily transactions (T+1) for the benefit of prudential supervision which is important and can have an
management and supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the derivatives broker within
supervision of the operation of the full-service branch offices managed by the same manager. The Office shall consider and notify the result of its consideration to the securities company within thirty days as
Office at least sixty days prior to the expiry date of registration. The Office shall consider the application under the second paragraph within thirty days as from the next following date after such
person who take care of in-house training to include the deficiencies area in the next year training course? 4 Whether the policies, procedures, checklist and quality control systems are appropriately