Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
Act (No. 2) B.E. 2542 (1999), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: 1The terms, “institutional investor,” “ultra-high net worth
Act (No. 2) B.E. 2542 (1999), the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: 1The terms, “institutional investor,” “ultra-high net worth
manually and be officially received during office hours. Criteria and Related Requirements Every registered Person/Professional, in the conduct of his business, shall: - Observe high standard of commercial
securities issuers, financial advisors, auditors, market intermediaries, and stock exchanges. Both market integrity and investor protection could not be achieved without high quality financial information
” means the Thai Bond Market Association which has been licensed by and registered with the SEC Office. The terms "credit ratings", "registration statement", "listed companies", "high net worth
In this Notification: The terms “credit rating”, “bill”, “short-term bill”, “registration statement”, “listed company”, “parent company”, “subsidiary”, “executive”, “controlling person”, “high net
Cycle of Audit Inspection ........................................................ Significant Statistical Information .................................. 02 04 05 08 24 38 40 43 Executive summary High
and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business
Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business with honesty, fairness and