clients ? dishonestly used the information regarding clients? trading orders he had accessed by virtue of his duty and ran a fraudulent scheme whereby the orders of UBS?s clients would match with those of
กรรมการอิสระซึ่งสามารถดูแล ตรวจสอบ และถ่วงดุลการบริหารความเสี่ยงและการควบคุมภายในได้ ในสัดส่วนที่เหมาะสม ทั้งนี้ เพื่อให้การประกอบธุรกิจเป็นไปเยี่ยงผู้ประกอบวิชาชีพในลักษณะเดียวกันจะพึงกระทำ (fiduciary duty
appointment of fund supervisor and in compliance with the Securities and Exchange Act B.E. 2535 (1992) as well as the duty to preserve the benefits of all unitholders. In addition, in the event of change of
performance of duty as financial advisor under this Notification; (3) “supervisor database” means the database prepared by the Office under the rules prescribed by this Notification to display the name list of
). However, such exemption shall apply to only one applicant for each management company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant
company and shall be terminated once such person no longer performs such duty or holds such position. Clause 4. Any applicant seeking an approval to act as a mutual fund manager shall not possess any of the
. Interest expenses of debentures for the first quarter of 2020 were 19.30 Million Baht. In accordance with the terms and conditions of the Regulation of Rights and Duty of Debenture Issuer and Debenture
giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from seeking benefits wrongfully by
technology risk and cyber risk by giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from