management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy

honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. The securities company shall have a policy on prevention of conflicts of interest in managing

(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...

(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 both Houses of Parliam...

and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the securities company to manage the private fund

SEC Office has submitted in support of the accusation made against the offender may be used by an inquiry officer in the criminal investigation. Section 55. In the execution of his or her duties, the

SEC Office has submitted in support of the accusation made against the offender may be used by an inquiry officer in the criminal investigation. Section 55. In the execution of his or her duties, the

which should have been stated: (1) providing information in support of seeking a resolution of the shareholders’ meeting; (2) financial statements and reports concerning the financial condition and the

submit a report on such hearing to the Capital Market Supervisory Board in support of the consideration for approval on the proposed rules. The Capital Market Supervisory Board’s approval under the first

submit a report on such hearing to the Capital Market Supervisory Board in support of the consideration for approval on the proposed rules. The Capital Market Supervisory Board’s approval under the first