quasi-incompetent person; (3) having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the
quasi-incompetent person; (3)( having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the
(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...
(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 both Houses of Parliam...
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
concerned. The identity card of the competent official shall be in the form as prescribed by the registrar. Chapter 5 Penalties _______________________ Section 32. Any fund which fails to use a name in the
relating to the management of the fund. Section 31. 2 In carrying out his duties, the competent official shall present his identity card to the persons concerned. The identity card of the competent official
businesses, for the purpose of maintaining the stability of the country’s economy, and protecting investors and the public concerned. The enactment of this Emergency Decree is consistent with the conditions
of such activities and businesses, for the purpose of maintaining the stability of the country’s economy, and protecting investors and the public concerned. The enactment of this Emergency Decree is
and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the securities company to manage the private fund