Regulations SHARE : Detail Content Enforcement The SEC is a regulatory body that carries a mission to develop and supervise the Thai capital market to ensure efficiency, fairness, transparency, and
Perform duties as specified by laws and the trust instrument R elated Rules/Regulations The Notification of the Securities and Exchange Commission No. KorKhor. 9/2552 Re: Rules on Application for
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business or has been barred from serving as executive or being major shareholder of regulated legal entity; (12) has been revoked the business undertaking by the Thai or foreign
Thai capital market. Thus, the SEC has always put its best effort to supervise and improve quality of financial report to ensure that public disclosure of financial report is accurate, transparent
investment decision of the public, appraisal requires a knowledgeable, capable and responsible person to perform. The SEC have stipulated the undertaking of the asset appraisal by an appraisal company whose
limited, have been granted a license from the SEC Board, and at least two-fifths of the total number of directors must be persons who can perform duties to look after the benefits of members, investors and
limited, have been granted a license from the SEC Board, and at least two-fifths of the total number of directors must be persons who can perform duties to look after the benefits of members, investors and
fund management company can deny any civil liabilities arising from a willful act, or from negligence to perform duties specified in the agreement; (2) The agreement contains a statement informing
fund management company can deny any civil liabilities arising from a willful act, or from negligence to perform duties specified in the agreement; (2) The agreement contains a statement informing
injured person claims compensation from a person who, willfully or negligently, unlawfully acts and causes damage. Insider Trading, Market Manipulation, and Fraud or Failure to perform duties (Fiduciary