its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
information 16. Management discussion and analysis Part 3 Information on the offer for sale of securities 1. Details of the securities being offered for sale 2. Transfer restriction of the securities being
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
accordance with the rules and procedures as specified in the notification of the SEC Office. SECTION 51.5 The transfer of name debentures, name certificates representing the rights to purchase shares, or name
quasi-incompetent person; (3)( having disreputable background or managing any business in a manner indicating a lack of professional accountability or due care as specified in the notification of the
within the period. Remarks : Persons or businesses related to the auditor and the audit firm include: (a) spouse and child dependent on or under the care of the auditor; (b) business with power of control
shall administer and manage a fund with responsibility, due care and loyalty for the interest of the unitholders including acting in compliance with the law, the fund project, the commitment between the