activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3
(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The Stock Exchange of Thailand
about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets shall be in custody of a third party, the intermediary shall provide efficient
ตลาดหลักทรัพย์ ที่ สน. 41/2560 เรื่อง การเปิดเผยการปฏิบัติตามหลักธรรมาภิบาลการลงทุนสำหรับ ผู้ลงทุนสถาบัน (Investment Governance Code for Institutional Investors) ลงวันที่ 3 สิงหาคม พ.ศ. 2560 เพื่อกำหนดหลักเกณฑ์
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
whom the Stock Exchange of Thailand is of the opinion that are not appropriate to be executives under the regulations of the Stock Exchange of Thailand: O yes O no 6.13 pending under accusation or
person will be involved in the management and administration of the fund. In the case where such person is a company whose shares are listed on the Stock Exchange, only the characteristics under (1)(a
protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such