, accepting listing and delisting and supervising securities businesses by approving rules issued by the Bank of Thailand, issuing and revoking licenses for securities business undertaking. Meanwhile, the Bank
procedures set out by the AIMC. (4) In the case of transferring units among the RMFs, the mutual fund management companies must complete the transactions within five business days from the date of accepting
reputations, divided into two areas as follows: Staff Code of Ethics consists of guidelines for handling conflicts of interest, for example, prohibiting staff from trading stocks or accepting assets or
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
mutual fund management company shall request a waiver from the SEC. (3) Any other cases for which the fund management company reserved the rights (only for accepting purchasing orders) as provided for
Stock Exchange Seminar, Bangkok, May 11, 2011 Time for capital markets in Asia to rise Speech by Mr. Thirachai Phuvanatnaranubala, Secretary-General, SEC Thailand and Chairman of the ASEAN Capital Markets