client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
to receive financial incentives in order to favor the interest of one client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment
and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of
management of the private fund, using knowledge 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
the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
of knowing and categorizing type of client shall be revised and updated within a period of time specified by the Association , with an approval of the SEC Office, except that the intermediary which is
Securities and Exchange Act B.E. 2535 (1992) or Section 23 of the Derivatives Act B.E. 2546 (2003) ; (2) possessing the prohibited characteristics in Group 1 under Clause 29 or in Group 2 under Clause 30