Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to the level of trust
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
intermediary shall provide the service as the client ’s demand and shall conform to the following standards: (1) provide service to the client as soon as possible and review for ensuring that the service meets
the circumstances. The evaluation of performance and the calculation of the net asset value of each fund shall conform to the recognized academic principles or international standards as prescribed by
the securities company or employee of the securities company. Clause 18 . A securities company shall trade securities to conform to the instruction of the owner of the account and shall have a reliable
service, an intermediary shall provide the service as the client ’s demand and shall conform to the following standards: (1) provide service to the client as soon as possible and review for ensuring that
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...