Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries
เพิ่มเติม 5. ช่องทาง การเสนอขาย - ขายตรงได้ - หากขาย HNW ต้องมี ตัวกลางท า product screening+ขายตาม sales conduct ขายตรงได้ ต้องมีตัวกลางท า product screening + ขายตาม sales conduct ต้องมี FA ท า product
] exploitation of investors or lack loyalty or practice on code of conduct as a professional specified by the SEC Office, associations, or agencies related to capital market approved by the SEC Office, or [iiii] a
against property, or lacking due care, loyalty or practice on code of conduct as a professional. Clause 31 In case there is a reasonable ground to believe that the following demeanors are committed, it
Commission concerning Rules, Conditions and Procedures for the Approval of REIT Manager and Standard Conduct. (3) the REIT manager has to perform duties with due care and loyalty for the best interest of the
to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall clearly
able to efficiently supervise the conduct of its agent, the SEC Office may not allow the management company to further appoint such person as agent, and in case of not allowing, the SEC Office shall