on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
matter may be outlined according to the eight principles7 prescribed by the Stock Exchange of Thailand, as follows: (1) Fair business practices (2) Anti-corruption (3) Human rights protection (4) Equitable
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
investment in foreign securities, for example, lawsuits/ legal proceedings, investor protection rights related to corporate matters, restrictions related to money transfer to other countries (if any), etc. The
” means a contract whereby a person, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
infrastructure business operators; (b) being an infrastructure business whose operation generates benefits to the general public indirectly in the areas of health, environment, life safety and asset protection; (c
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system