concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the

” means a manager of the branch office or a person responsible for the operation of a branch office; “ fund manager ” means a mutual fund manager or a private fund manager who performs the duty of making

fund manager who performs the duty of making decisions on investment in or disposing of securities or any other asset except real estate, leasehold interest in property or seeking benefits by other

been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.

business operation and has the duty to convey the goals under the missions, strategies, policies, and operating plan at the enterprise level to the information technology-related goals under the supervision

equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty and responsibility to disclose accurate and sufficient information that should be informed

has the duty to disclose accurate and sufficient information in support of investors' decision making. Part 2 Management and Corporate Governance 7. Securities and shareholders 7.1 Amounts of registered

of Chapter 4 or the action having been done as a duty by law; (6) avoids receiving or rewarding remunerations or any other benefits, whether in form of cash, things or services, more than those should

' decision making significantly or ensure equal information access for all investors, as deemed necessary and useful. In any case, the Company has the duty to disclose accurate and sufficient information that

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning