of Directors. The information in the said matters shall clarify the directions and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as

the responsibility and capable of persuading the directors and executives to drive the organization’s operation toward both short-term and long-term goals, and comparable to the industry’s practice or

เอกสาร ข้อมูลหรือสื่อบันทึกข้อมูลต่าง ๆ เช่น thumb drive และ external hard disk ที่มีข้อมูลสารสนเทศที่จัดเก็บ หรือบันทึกอยู่ ไม่ให้วางทิ้งไว้บนโต๊ะทำงานหรือสถานที่ไม่ปลอดภัยในขณะที่ไม่ได้ใช้งาน (clear desk

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

Section 113 Securities and Exchange Act B.E. 2535 Section 113. In operating the business of securities brokerage in the Securities Exchange for listed securities, a securities company shall operate

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

fund management company to manage or to procure the benefit from property which the mutual fund purchase or rent; “Selling and redemption supporter” means any person which mutual fund management company

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited