and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business
Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business with honesty, fairness and
honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
person at the SEC Office. 17 (4) Place and time for submitting the application 1. If submitting via electronic version : Hosting Licensed Firm shall submit at Online Registration and Approval system (ORAP
of market integrity and investor protection by raising professional work standards and capabilities of both entities and individuals involved with various functions of our capital market such as
compliance and oversight framework in place, and to notify the SC of any occurrence of the non-compliance and any other events that have a material adverse impact on investors. • RRs must at all time satisfy
Board's and the SEC's operation to ensure transparency, efficiency and integrity of the organization. 14 C o r p o r a t e R e v i e w 2. Corporate Governance Implementation The SEC's corporate governance
) method, time and place for the payment of interest and redemption; (7) rights of the debenture holder in case the company incurred a debt before issuing the debenture; (8) procedures for the conversion of
approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without