Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

6.0 Key concepts and definitions 20 7.0 Annexes 22 Contents 6 1.0 Principles for Internal Governance 1.1 Fiduciary duty The culture, activities and role of all institutional investors should focus on

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

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and

same ground. There is also potentially confusing differences and overlap between the SEA and PLCA. In spite of wide spread training and awareness raising, market participants may not always fully

Section 317 of the Securities and Exchange Act B.E. 2535: (1) the Commissioner-General, Royal Thai Police or the Deputy Commissioner in case where the Commissioner-General is unable to perform the duty of

) application for approval of personnel whose name is listed in the registration for personnel who possesses qualification to perform the duty of fund manager under the Notification of the Office of the

reimbursement of investigative expenses Cases Persons Fail to exercise duty of care - - - - - - - Presenting a false statement or concealing material facts that should have been stated - - - - - - - Disclosure of