Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

information. • Managing conflicts of interest The SEC Code of Conduct and the procedure for managing conflicts of interest are incorporated into the Code of Governance to enhance the boards’ duty performance

importance of preventive measures against frauds. In addition, the involved parties were encouraged to use the existing mechanisms and tools effectively to support their duty performance. Such efforts in good

specific goods, services, or other rights under an agreement between the issuer and the holder. iii) To enhance the effectiveness of supervision, the Securities and Exchange Commission (“the SEC”) is

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA

6.0 Key concepts and definitions 20 7.0 Annexes 22 Contents 6 1.0 Principles for Internal Governance 1.1 Fiduciary duty The culture, activities and role of all institutional investors should focus on

increase liquidity and enhance operating result of the Company as the Company's group can leverage existing resources, as well as expertise and experiences of the Company’s executives and personnel for

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3. Maintenance of