signatories for the benefit of clients in choosing Asset Managers. Other Institutional Investors who are not regulated by the SEC, and who follow the I Code, are also encouraged to notify the SEC with the
signatories for the benefit of clients in choosing Asset Managers. Other Institutional Investors who are not regulated by the SEC, and who follow the I Code, are also encouraged to notify the SEC with the
supervise financial business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
trustee is entrusted with powers to oversee and administer assets of the trust in interests of the unitholders, who are the beneficiaries of the trust. A REIT is regulated under 2 major laws: 1. The Trust
, namely: Administrative order issued in accordance with the governing laws when a regulated person fails to maintain qualifications, has a prohibited characteristic, performs duties defectively, or fails to
compensations for damages incurred to investors in all cases. Other regulated regulators in the public and private sectors. Creating collaboration among all agencies in terms of concerted efforts to achieve the
Derivatives Business A Gathering of all Intermediaries Regulations Regulated Entities о Rules and Regulations / Licensing / Registration • Brokerage о Securities Brokerage о
benefit the executives. Criteria for consideration Contribution must be regularly made to the program in order to clearly indicate the number of shares to be purchased, without having to use internal
economic growth and social development. The SEC* has set our vision as follows: “The SEC is ready to embrace changes and develops a sustainable capital market and economy for the benefit of all
alternative. Investments through a mutual fund greatly benefit investors, especially retail investors, in that they can better diversify the investment risks, and receive professional services in monitoring and