of responsibility or caution, or reflecting unfair or incredible manner, except where it is proper, the Minister upon the SEC’s recommendation may give a waiver of such disqualified characters to such

assets; (b) Managing business in such a way that violates the law or fails to comply with the regulatory agency’s order or improper management of business; (c) Non-compliance of law, or unfair practice, or

on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that

shareholders’ interest. It is also their role to support any policy that would benefit shareholders and to object any unfair decision to be made by the company. More information on the duties and

relating to financial businesses, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or

, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or dishonesty; (3) During the course of

, regardless of whether such laws are Thai or foreign laws, which concern unfair practices of securities trading or business operations with the nature of deceit, fraud or dishonesty; (3) During the course of

experts/workers/foreigners. • Pros: Revival of the economy. • Cons: Unfair competition and possible corruption. 4 https://go.microsoft.com/fwlink/?linkid=2006808&clcid=0x409 SEC Classification : ใชภ้ายใน

333/3 Viphavadi Rangsit Road, Chomphon, Chatuchak, Bangkok 10900, Thailand Tel: +66 1207 or +66 2695 9999 Fax: +66 2695 9660 e-mail: info@sec.or.th BU I L D ING BR IDGES INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2014 BUILDING BRIDGES Securities and Exchange Commission, Thailand Securities and Exchange Commission, Thailand Contact Information  This report is available for download on the SEC website: www.sec.or.th  For more information, p...

relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of