Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
, Myanmar, Vietnam), by set up a team to oversee business in these countries. Including picks the business partners among the Group to maintain the standard of products and services from the Company
practices, and adhere to applicable laws; c) embody high standards of business ethics and oversee the implementation of codes of conduct that engender a corporate culture of integrity; d) oversee the
), by setting up a team to oversee business in these countries including picking the business partners among the group to continuously maintain standard of products and services of the Company
Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a