the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
its personnel and its clients and between a client and another client ; (8) clients’ interests An intermediary shall pay regard to the interests of its clients and treat them fairly; (9) know your
securities borrowing and lending services to customers. In this instance, when making allocation to its lending customers, such client SBL unit shall treat the proprietary account as another customer. Clause
13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of the customer. (2) Treat
standards of conduct: (1) perform duties with integrity and honesty; (2) perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best
integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide
TRANSLATED VERSION As of August 27, 2014 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 37 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6 and Section 113 of the Sec...
(UNOFFICIAL TRANSLATION) Codified up to No.9 As of 20 February 2017 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 14 Notification of the Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries _____________________________ By virtue of Section 16/6...
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
issued shares due to a significant suspicious ground regarding management mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to