trading prices. Although the Thai BDC is a rule maker on ethics, practices and standards in the secondary market of debt instruments as well as supervises traders, it does not do much in terms of market
the mark for another year in 2006, further strengthening the robustness of market infrastructure. Though affected by unexpected incidents late in the year, the market managed to recover and the stock
, and unauthorized securities businesses. We took legal actions on such wrongdoings and by the end of the year, we managed to prevent considerable sums of damages. On regulatory side, we continued to
management of a fund by increasing from 20% to 100% the proportion of the fund's assets that can be sub-managed by a manager that is not regulated by a signatory.The revised Framework took effect on 23
activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3
. 1.2 Scope of activities Skill and knowledge-oriented activities useful for performing duties of investor contacts, covering (1) business-related subjects and (2) rules, regulations, code of ethics or
-related subjects and (2) rules, regulations, code of ethics or relevant laws. 1.3 Duration of activities At least 15 hours of participation in relevant activities during the past two calendar years prior to
planning, tax and ethics) and Module 2 (investment planning), curriculum recognized by the SEC Office, or any others under remark1. In case of passing CFP Module 1 and Module 2, the 2-year result validation
shall perform duties in accordance with standards and ethics regarding appraisal profession and with additional requirements regarding asset appraisal for widely used. In this regard, the appraisal report
firm considers as high risk? Please describe the relevant responses to these risks 2 Does the firm consider all ethical requirements outlined in the Code of Ethics during the risk assessment process for