following matters: (1) code of business ethics for members, which shall contain at least the following provisions: (a) members shall operate business honestly and shall act ethically in relation to clients or
management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
as a derivatives broker for clients, the derivatives broker shall comply with the following criteria: (1) the derivatives broker shall perform his or her duty honestly by taking into consideration the
behavior that, if considered on a reasonable ground, indicates failure to honestly and fairly perform duty in providing financial services, lacks professional accountability or due care, or aids or abets or
and its employees should deal fairly and honestly with rated entities, obligors, originators, underwriters, arrangers, and users of credit ratings. 1.19 behavior, and the CRA should have policies and
persons believe or have reasonable ground to honestly believe that there has been contravention or failure to comply with this Act; (2) gives statement, files document or evidence or gives assistance by any
related details truthfully. If the SEC Office finds that such information or related details is not based on facts or any part of it is false or in violation of the conditions prescribed by the SEC Office
Personal Data Protection Policy, please scan the QR Code below); 6 7. The Applicant shall give information or related details truthfully. If the SEC Office finds that such information or related details is
1/7 เลขท่ี 1 อาคาร ทีพี แอนด์ ที ชัน้ 14 ซอยวิภาวดีรังสติ 19 14th Floor, TP&T Tower 1 Soi Vibhavadee-Rangsit 19 Tel : (662) 936-1661-2 แขวงจตจุกัร เขตจตจุกัร กรุงเทพฯ 10900 Chatuchak, Chatuchak, Bangkok 10900, Thailand Fax : (662) 936-1669 ทะเบียนเลขท่ี 0107554000097 Registration No. 0107554000097 HYDROTEK PUBLIC COMPANY LIMITED บริษทั ไฮโดรเท็ค จ ำกดั (มหำชน) (Translation) No. 078/0960 21 September 2017 Subject: Notification of the Board of Directors No.8/2017 and the date of the Extraordinary...