management. The business provider must have the protective measures against conflicts of interests, for the increased protection for the investors.SEC has published relevant documents regarding public
Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the
of the Office of the Securities and Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2
will be useful for investor contact and client in case there are disputes over trading orders sending. Taping the conversation between investor contact and client is a requirement that in line with
to involve conflicts of interest. Board committees can be a mechanism for delegating monitoring. The board should ensure a formal and transparent board nomination and election process, in the
in accordance with laws, regulations, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or
accordance with laws, regulations, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or its
, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or its personnel and its clients and between
management rules on prevention of conflicts of interest Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of