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
incentive systems) with regard to its partners and professional staff are designed to demonstrate the firm’s overriding commitment to quality; · The firm devotes sufficient resources for the development
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the
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
(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...
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer
ที่มีการรับประกันการจัดจำหน่ายต่อ (sub-underwriting commitment) ได้แก่ มูลค่าหลักทรัพย์ที่ บล. ผู้รับ ประกันการจัดจำหน่ายต่อจะต้องรับผิดชอบซื้อไว้เองถ้าไม่สามารถจัดจำหน่ายได้หมด 1.2 มูลค่าของหลักทรัพย์
ฐานในการคำนวณ” ของ บล. ได้แก่ มูลค่าการรับประกันการจัดจำหน่ายหลักทรัพย์ หักด้วยมูลค่าดังต่อไปนี้ 1.1 มูลค่าของหลักทรัพย์ที่มีการรับประกันการจัดจำหน่ายต่อ (sub-underwriting commitment) ได้แก่ มูลค่าหลัก