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
may deregister a RR where the RR and/or his attached CMSL holder does not comply with any of the requirements as specified in the Handbook. • The SC may take action against the RR for breach of the CMSA
PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law
capital market professionals is one of the Key Priorities of the ASEAN Capital Markets Forum ("ACMF") Action Plan 2016 – 2020 endorsed by the ASEAN Finance Ministers in April 2016, in order to contribute
andum regard ers g Corporation n October 4, s follows: se to the Extra ed capital of B 09.00 by decre 907,153 share Association o ecutive Comm managing di of Association ry action to co se to the Extra d
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
companies oversee and manage such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a
Summary of Class Action under the Civil Procedure Code Tanaporn Farungsang Litigation Department The Securities and Exchange Commission, Thailand (SEC) Definition Class action is a type of civil