policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic
, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
or trustworthiness of the system of trust business, the SEC shall have the power to specify conditions for undertaking trust business. In cases where there has been a change in the necessary
of such suitability. It shall also provide basic advice to the client in order to raise the client’s awareness on the importance of asset allocation and determine investment proportion or enter into a