governance of listed securities issuers; (5) measures to prevent and resolve conflicts of interest; and (6) efficient and fair arrangement for the handling of complaints or disputes. In the case where the SEC
(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...
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
of business operation of the derivatives business operator. DIVISION 5 SETTLEMENT OF DISPUTES BY ARBITRATION SECTION 47. For the purpose of providing customer protection as well as providing
of conflicts with other laws when applying trust for transactions in the capital market, it shall proceed as follows: (1) in cases where a trustee prepares an account of property and segregate the
notification under Section 58; (4) fail to meet the conditions under Section 56. SECTION 61 In avoidance of conflicts with other laws when applying trust for transactions in the capital market, it shall proceed
avoidance of conflicts with other laws when applying trust for transactions in the capital market, it shall proceed as follows: (1) in cases where a trustee prepares an account of property and segregate the
and; (3) not act in significant conflicts with the interest of the company. SECTION 89/11 Any of the following acts, which provides a director, an executive or a related person any financial benefits