to be Fund Manager, such person shall hold the position with either of the following characteristics: (a) not causing any conflicts of interest with the management of funds; or (b) being the position
. Notification of Capital Market Supervisory Board TorThor/Nor/Khor. 26/2551 Rules, Conditions and Procedures for Being Executive of Securities Companies 05/11/2008 16/11/2008 5. Notification of the
companies while the clients’ draft financial statements were being recorded into the EY information system, and sold them out after the companies disclosed their financial statements through the SET
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
Office. (3) “code of ethics for professional accountants” means: (a) code of ethics for professional accountants established by the Federation of Accounting Professions (FAP); (b) code of ethics for
to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities business prescribed by an agency or association connecting
act of other person; (2) there are reasonable grounds to believe that he or she is or having been reasonably suspected of being lack of ethics or standard of performance relating to (a) securities