manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules and regulations
derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the scope of rules
time; (2) scope of responsibility in the position of such person in accordance with the laws or as assigned by the board of directors and; (3) qualification, knowledge, capability, and experience
potential investments before committing. • Motivated to research the range of investments incorporated in investment products in order to make both a financial and ethical decision on their suitability
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
false statement/ Dissenimation of false or misleading information 0 0 - - 0 0 1 1 Market manipulation 0 0 4 68 0 0 1 14 Insider trading / Disclose inside information 0 0 1 3 0 0 - - Takeover - - - - 1 1
age of 50 to 59, contributing to 31 percent, as shown in figure 5. 47% 13%6% 3% 31% 30-39 years 40-49 years 50-59 years 60-69 years More than70 years Proportion of ages range of auditors in capital
written policy, scope, or definition of work to be outsourced, with approval, whether on a general or case-by-case basis, of the board of directors or the working group assigned by the board of directors