characteristics into account: (1) Any behavior indicating any act or omission to act in bad faith or by gross negligence in relation to undertaking any transaction of the company or its subsidiary resulting in
37 Management of trust is a trustee’s personal duty. A trustee shall not delegate its duty to other persons except where: (1) the trust instrument provides otherwise; (2) it is a transaction that is
person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after
Transactions in Capital Market B.E. 2550 (2007) . I hereby attach the following evidentiary documentation in support of my application: (1) Certification of the applicant; (2) Personal record and details of the
apply) Documents Yes No N/A Reasons for No and N/A (1) Form 61-1 F Application for registration as a foreign auditor in the capital market. Signature of the applicant is required. (2) Applicant’s personal
personal acts becoming liable to such undertaking of securities business or derivatives business: (1) a person giving advice that involves expression of opinions or sharing of knowledge or experience in
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application for an
and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public