concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
Steel Center Company Limited and Mr. Niramd Ngarmchamnanrith (“Mahachai Group”) (Mr. Niramd is a major shareholder in Mahachai Steel Center Company Limited) (“2014 Receiving Financial Assistance
; (2) acceptance of fees charged under this Emergency Decree. The fees under (2) shall be for the account of the SEC Office. Section 15. To protect the public interest or investors, the SEC Office shall
for the account of the SEC Office. Section 15. To protect the public interest or investors, the SEC Office shall have the duty to disclose the information relating to any violation and penalty imposed
information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information
to protect the confidentiality of some types of information these entities share with them. To help achieve the objectives outlined in the IOSCO CRA Principles, which should be read in conjunction with
) being ordered by the SEC Office or the Exchange or receiving a warning against failure to protect shareholders’ right, unfair treatment toward shareholders, or the disclosure of information to the
appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company
operation of the securities company. Risk to be taken into appraisal in risk management shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside
shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at