million baht, which created an unlawful benefit for Bhusana. Ploykaew, Gorawan and Nanthawat, who were ESES directors, assisted and supported the execution of such trading transactions. Case 5
of clients? assets: deficiency of the verification process created risk of damaging client assets. It was found that during August 2014 to March 2015 many clients asked the company to add another
consequently affect confidence in securities business and the capital market at large; (2) Custody of clients? assets: deficiency of the verification process created risk of damaging client assets. It was
and the Negative List, which has been created for fund managers to screen listed companies for investment. This entire process demonstrates the commitment of AMCs and Thai ESG Funds. Investors can
management and control units are responsible for providing independent and objective views on specific risk-bearing activities to safeguard the integrity of the entire risk process, as well as controlling risk
protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets
client’s asset which is under the following rules: (a) in case the client’s assets have been in custody of the intermediary, the administrative system shall be provided adequately in order to protect the
client’s asset which is under the following rules: (a) in case the client’s assets have been in custody of the intermediary, the administrative system shall be provided adequately in order to protect the
appropriate and shall be the maximum benefit to the Shareholder. 5. Warrant of Directors In the event where any director of the Company fails to perform his/her functions with integrity and due care to protect
investor is appropriated. 6. Warrant of Directors In the event where any director of the Company fails to perform his/her functions with integrity and due care to protect the Company’s interests from this