his conspirators. In doing so, the UBS?s clients did not receive the best price available on the market but had to pay more or sell for less. On the contrary, Numkrit and his associated persons were not
securities trading but has also been dedicated to fostering sustainable capital market development while expanding opportunities and driving positive change across multiple dimensions of Thai society—aligning
revoke the approval for auditor in the capital market as deemed appropriate: (1) the auditor fails to take action under Clause 13; (2) the auditor has any behaviors under Clause 16; (3) the auditor
development of the listed companies based on (1) Self Discipline, (2) Market Discipline and (3) Regulatory Discipline.Although, CSR and Anti-corruption significantly contribute to sustainable development
____________________________________________________________________ ____________________________________________________________________ 8) Does the investment policy and investment strategy of the foreign ETF comply with the Notification of the Capital Market
foreign ETF comply with the Notification of the Capital Market Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund
otherwise) of the action on the CRA, a rated entity, obligor, originator, underwriter, arranger, investor, or other market participant. 2.2 A CRA and its employees should use care and professional judgment to
Agent to Facilitate the Acceptance and Execution of Trading Orders of Securities or Derivatives by assigning personnel in the capital market business who are not investment planner to take action lawfully
, Clause 38, Clause 43(3), and Clause 44 of the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and