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.
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
Office refuses to grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents
) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3) indicating the
Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
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
management official could make derivatives trading decision for its clients (day-to-day decision) according to clients’ intention which have informed to derivatives investment manager regardless whether such
approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in
dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and
ความลับของ กองทุนรวม (3.7) ระบบในการควบคุมดูแลการกำหนดมูลค่าทรัพย์สินต่างๆ ที่กองทุนรวมลงทุน ให้เป็นไปตามหลักความยุติธรรมและความสม่ำเสมอ (fairness and consistency) สำหรับทุกกองทุนรวมที่ตนเป็นผู้ดูแลผล