company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities

) “investor contact” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities companies undertaking securities business

of client’s assets in writing, elaborating the rights, duties, and responsibility of both counterparties. In this matter, such contract or agreement shall not have any statements denying the securities

assets in writing, elaborating the rights, duties, and responsibility of both counterparties. In this matter, such contract or agreement shall not have any statements denying the securities company’s

______________________________ Clause 19. To facilitate securities company in performing suspicious transactions reporting duties under anti-money laundering legislations, the securities company must: (1) determine

Suspicious Transactions ______________________________ Clause 19. To facilitate securities company in performing suspicious transactions reporting duties under anti-money laundering legislations, the

. Chapter 3 Reporting of Suspicious Transactions ______________________________ Clause 19. To facilitate securities company in performing suspicious transactions reporting duties under anti-money laundering

3.00 percent of the net tangible assets of the Company, the Company has the following duties: (1) To disclose the information memorandum on the Granting of Loan Transaction as required by the

ลงทุน ส ำนกังำนจึงพิจำรณำด ำเนินกำร แกไ้ขเพิ่มเติมพระรำชบญัญติัหลกัทรัพยแ์ละตลำดหลกัทรัพย ์พ.ศ. 2535 โดยมีสำระส ำคญั ดงัต่อไปน้ี 1. ก ำหนดหนำ้ท่ี (fiduciary duties) ของบริษทัจดักำร (“บลจ.”) ในกำรจดักำรกอง

เครื่องมือที่ชวยตดิตามใหกรรมการ หรือผูบริหารทําหนาที่ไดตาม พ.ร.บ. หลักทรัพยฯ ซ่ึงกําหนดใหกรรมการและผูบริหารตองปฏิบัติหนาที ่ ดวยความระมดัระวังและซื่อสัตยสุจริต (fiduciary duties) โดยมหีลักสําคัญ