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
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
ค่าตอบแทนที่ได้รับเนื่องจากการนำเงินของกองทุนรวม หน่วยลงทุนนั้นไปลงทุนในหน่วยลงทุนของกองทุนรวมต่างประเทศ (loyalty fee หรือ rebate) เข้าเป็น ทรัพย์สินของกองทุนรวมหน่วยลงทุน หากบริษัทจัดการได้ดำเนินการตาม
with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates its business by maintaining corporate
securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
following regulations: (1) performing duties or providing services with loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness
assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3
such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research
size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause