trust issued by foreign ETF . “ underlying shares of ETF ” means shares which are registered as listed securities in the Stock Exchange of Thailand or foreign exchange, as the case may be, which are in a
Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference (Unofficial Translation) PAGE Readers should be aware that only
-- DRAFT Principles -- (Unofficial Translation) PAGE (Unofficial Translation) - 2 - Readers should be aware that only the original Thai text has legal force and that this English translation is
persons or the group of persons who are genuinely the true shareholders and their core businesses unless there is a reasonable ground for failure of such identification. (2) In case of a holding company
business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited characteristics, or obtain an approval [from the SEC Office], as the case may
; (5) person holding a position equivalent to the positions under sub clause (1) to (4) called by other names. Clause 7 Personnel in the capital market business performing functions under Clause 4(3) are
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC
product in support of their investment decision making; (3) To disclose the fees charged to the clients by the intermediary . Clause 8 In case of providing services to clients who are subject to the
UNOFFICIAL TRANSLATION Codified up to No. 4 As of 23 November 2020 Readers should be aware that only the original Thai text has legal force, and that this English translation is strictly for
SECURITIES AND EXCHANGE COMMISSION TranslatED Version codified up to No.15 as of April 8, 2015 Readers should be aware that only the original Thai text has legal force and that this English