] has certain behaviors indicating unlawful acts subject to administrative sanction; (4) “authority” means the SEC, administrative panel and the SEC Office, as the case maybe; (5) “administrative panel
, investment advisers have a fiduciary duty to their clients. • It is the highest standard of legal care that requires full disclosure of any potential conflicts of interest. • The fiduciary duty consists of
professional due care, as follows: (1) being under receivership by the court’s order; (2)1 being banned by the Stock Exchange from performing the position of executive or person who has the controlling power of
authority to set out rules, conditions and procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and
authority, whether in Thailand or in foreign countries, or subject to any legal proceeding following the criminal complaint initiated by such financial regulatory authority, (Translation) -4- or having been
1 NO. NCH 024/2562 July 11, 2019 Subject : Notice of setting up a new subsidiary under joint venture agreement to cover intermediate care and wellness business Attn. : Director and Manager The Stock
Provincial Waterworks Authority Attention: Directors and Managers The Stock Exchange of Thailand CC: Secretary-General of the Office of the Securities and Exchange Commission, Thailand Attachment: Map of the
relations. The SFC is the principal regulator of the securities and futures market in Hong Kong and the primary authority for regulating retail funds offered to the public in Hong Kong. The role of the SFC is
other laws relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the