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
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
reason to doubt that the management mechanism will be unable to protect the rights of the shareholders or to treat the shareholders fairly. (2) roles, duties and responsibilities of directors, executives
; (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
representative organisations and other stakeholders, is an G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 15 effective way of doing this. Mechanisms should also be established for parties to protect their
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
able to protect shareholders’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received
ที่ลูกค้าจะได้รับการนำเสนอผลิตภัณฑ์ ที่ไม่เหมาะสม และวิเคราะห์ว่ามีสัญญาณใดที่จะบ่งบอกถึงการเกิดความเสี่ยงดังกล่าว ซึ่ง LBDU ต้องวาง ระบบควบคุมเพื่อป้องกันความเสี่ยง (protect) เช่น maker & checker หรือ