trading instrument from engaging in a transaction in the trading instrument or using the information to advise or otherwise advantage another person in transacting in the trading instrument. 4. GOVERNANCE
create an advantage over other shareholders or give inappropriately more benefits than other shareholders; 2. being unlikely to be able to protect shareholders’ rights by allowing any person to receive
General impacts on stakeholder groups All citizens will be able to carry out secure and trustworthy cross- border electronic transactions and take full advantage of their rights across the EU. https
responsibly, avoiding taking advantage of or misleading customers, or causing misunderstanding about the products and services offered by the company. (3) Responsibilities to business partners by engaging in
Road, Chomphon, Chatuchak Bangkok 10900, Thailand Website: www.sec.or.th Email: mrfhongkong@sec.or.th Page 2 of 15 be no arrangements which provide an advantage for investors in Thailand or Hong Kong
, compensation and disclosure of information; and there must be no arrangements which provide an advantage for investors in Hong Kong or Thailand that would result in prejudice to investors in the other
shall monitor and supervise its personnel, who are responsible for providing investment analysis, consultation or planning to clients, to perform their duties within the specified scope as approved by the
and the disclosure of information concerning certain products in the capital market to its clients shall comply with this Chapter. Clause 23 An intermediary shall monitor and supervise its personnel
management that may be a business competition with the REIT’s real estate. Moreover, explain how and clarify the mechanism or measures the REIT Manager uses to supervise the property manager to prevent a
) who is a juristic person, derivatives clearing houses shall also supervise and monitor potential risks of these members. Clause 25 In cases where a derivatives clearing house provides tiered