standards to ensure that all practitioners are fit and proper ë Issue rules and regulations for authorization and operation of securities businesses ë Issue rules and regulations governing asset management
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
prevent such conflict]. Additionally, the process to handle for keeping the best interest of the REIT or the unit holders, as a whole, when a conflict of interest has been happened, is required; (3) a
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
the regulations concerning net capital1, such intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
intermediary shall maintain net capital in conforming to the rules as stipulated in the Notification of Securities and Exchange Commission on the issue thereof, as the case may be; (b) in case of a securities
delay. Clause 13 A management company shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the
delay. Clause 13 A management company shall handle investor complaints arising from the performance of the representative or its staff in a similar manner to handling of complaints arising from the
fails to act under the first paragraph, the management company shall revoke the appointment or change such representative without delay. Clause 13 A management company shall handle investor complaints