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
เครื่องมือที่ชวยตดิตามใหกรรมการ หรือผูบริหารทําหนาที่ไดตาม พ.ร.บ. หลักทรัพยฯ ซ่ึงกําหนดใหกรรมการและผูบริหารตองปฏิบัติหนาที ่ ดวยความระมดัระวังและซื่อสัตยสุจริต (fiduciary duties) โดยมหีลักสําคัญ
persons who commit offenses as prescribed by the acts/royal decrees under the power and duties of the SEC Office. 1. Personal data collected by the SEC Office: The SEC Office collects the following personal
act or causing damage to properties, creditors or the public; 3. failing to perform duties with due care or loyalty; 4. intentionally making a materially false statement or concealing a material fact
shall be a statement indicating that such person [i] agrees to perform the duties as the trustee of the REIT after having studied the evidentiary documentation submitted to the SEC Office by the applicant