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
……................ working for ……..(NAME OF AUDIT FIRM)......, wish to apply for an approval of the SEC Office to be an auditor of businesses under the Securities and Exchange Act B.E. 2535 (1992) and the Trust for
damage to the company or the shareholders or any ill- gotten gain by myself or any other person; (2) Any behavior in respect of disclosure or dissemination of information or statement concerning the
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
1.3 Gain (loss) on Securities trading 1.4 Gain (loss) on Derivatives trading 1.5 Interest and dividend 1.6 Interest on margin loans 1.7 Share of profit of subsidiaries and associates 1.8 Others incomes
joined the client as a director or in a key management position? 3 Family/Personal Relationships: Do they require that partners and professional staff report any immediate or close family and other
Describe the Company’s policies and procedures for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month
undertake trust business under the following rules and conditions: Clause 1. In this Notification: “Securities company” means a company which obtains a license under the law on securities and exchange to
บทนำ 2 9 เอกสารรับฟังความคิดเห็น เรื่อง หลักเกณฑ์การออกและเสนอขาย หน่วยทรัสต์เพื่อการลงทุนในโครงสร้างพื้นฐานต่างประเทศ (Infrastructure Trust ต่างประเทศ) สำนักงานคณะกรรมการกำกับหลักทรัพย์และ
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