effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business or capital market
professional ethics or standards as stipulated by an association under the Office’s approval, thereby having a possibility to cause a lack of confidence in the business of investment management as a whole or
securities for sale to a Thai trust fund or has issued non-voting depositary receipts (NVDR) with the Company’s shares as the underlying securities, specify the amount of shares and clarify the impact on the
Company has shares or convertible securities as an underlying securities for issuance of investment units of mutual funds for foreign investors (Thai Trust Fund) and the Non-Voting Depository Receipts (NVDR
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
confidence in the Thai capital market or; (4) the establishment of the fund may cause damage to the investors or may deprive the investors of a fair treatment or the investors may not receive correct and
undertake trust business under the following rules and conditions: Clause 1. In this Notification: “Securities company” means a company which obtains a license under the law on securities and exchange to
บทนำ 2 9 เอกสารรับฟังความคิดเห็น เรื่อง หลักเกณฑ์การออกและเสนอขาย หน่วยทรัสต์เพื่อการลงทุนในโครงสร้างพื้นฐานต่างประเทศ (Infrastructure Trust ต่างประเทศ) สำนักงานคณะกรรมการกำกับหลักทรัพย์และ