pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order that the intermediary able to pursue
personnel, in order that the intermediary able to pursue and monitor the investment of those persons; (3) preparing a measure for pursuing, controlling and monitoring compliance with the system and measure as
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
executive. Clause 7. Unless otherwise specified in Clause 9, the derivatives broker intends to seek an approval for derivatives trading according to Clause 5 shall submit the application for approval to the
protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities
appropriate. Clause 15. In cases where several claimants jointly file the dispute under Clause 8 and seek compensation collectively exceeding one million baht, the claimants may indicate their intention to
consent under the first paragraph of Clause 13 or the first paragraph of Clause 13/1, the private fund management company may seek a general consent from the client or the provident fund committee in
and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1
additional documents and evidence within the period specified by the Office. The Office shall deem that the applicant no longer wishes to seek an approval to become a fund manager in case where: (1) the