, strategy, policy and operational plan shall be harmonized with fiduciary duties and good corporate governance principles. Clause 3. To attain the availability of competent personnel, the management company
that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside
characteristics as well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts
. In order that investors shall receive good, efficient and fair services, the investor contact shall perform duties in accordance with the following standards of conduct: (1) Perform duties with
such property is transformed into a different form or state, except the acquisition of the property was done in good faith and for value, providing further that the person acquired that property did not
is no any fact indicating any failure or inappropriateness in operational control and compliance with good business practices. Clause 6 The applicant for a derivatives business operator registration
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in
, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management company
(good corporate governance) มีการจัดการและการดำเนินการที่ตระหนักถึงความรับผิดชอบที่มีต่อผู้ถือหุ้นเป็นสำคัญ (4) ได้สอบถามถึงสมมติฐานและเหตุผลประกอบสมมติฐานในการจัดทำประมาณการ งบการเงินของบริษัทผู้ออกหลัก