circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
guideline for consideration of any problematic issues which many arise from the enforcement of this Act.
are reliably 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
interest amongst the clients of the intermediary in case the intermediary provides many types or categories of services. Clause 16 The actions which cause conflicts of interest in this Chapter shall include
treating each investor with fairness, carefulness and circumspection by taking into account the interest of investors at most; (3) performing duties in accordance with the Securities and Exchange Act B.E
following regulations: (1) performing duties or providing services with loyalty; (2) performing duties with responsibility and deliberation as a professional and treating each investor with fairness
interest between a client and an intermediary or its related person; (2) the interest amongst the clients of the intermediary in case the intermediary provides many types or categories of services. Clause 16
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
ความลับของ กองทุนรวม (3.7) ระบบในการควบคุมดูแลการกำหนดมูลค่าทรัพย์สินต่างๆ ที่กองทุนรวมลงทุน ให้เป็นไปตามหลักความยุติธรรมและความสม่ำเสมอ (fairness and consistency) สำหรับทุกกองทุนรวมที่ตนเป็นผู้ดูแลผล