are to support businesses of different models; enhance competitiveness for the intermediaries; suit respective risk types of different business activities; lessen unnecessary burdens on the business
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
responsibility in the investment-related field of the mutual fund management company. 2.2 The mutual fund management company shall organize knowledge enhancement or training sessions for their fund managers and
following: The Thai Bond Market Association The Association of Thai Securities Companies The Association of Investment Management Companies Regulatory Summary The provisions under Trade Association Act
in Thailand continuously for not less than 1 year; Having a manager and a person holding executive position responsible for the working field relating to asset appraisal who have knowledge and working
of investor's confidence to securities business industry. Clause 7 Securities company having major shareholder with disqualified characters specified in Clause 4, shall, in writing, notify the SEC
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
meet the criteria specified in the SEC regulations to be listed on the Thai stock exchange and offered to investors in Thailand. This offers the investors the flexibility to trade the units of foreign
Thailand. This offers the investors the flexibility to trade the units of foreign ETF on the Thai stock exchange, just like stocks. Regulatory Summary Related Rules and Regulations Related Forms