prevention of conflicts of interest between the management company and the unitholders; (7) the money borrowing or creation of encumbrances on a fund ’s assets; (8) the liquidation of a fund . In the case

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

reference. PAGE 10 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 14/2558 Re: Rules in Detail on the Prevention and Management of Conflicts of Interest __________________

Exchange Commission No. SorNor. 21/2551 Re: Acts that may Create Conflicts of Interest on Fund Management and Protective Rules (No. 2) -------------------------------- By virtue of the Section 126(1) of the

Interest of Financial Institutions shall hold at least seventy-five percent of the total shares sold; and (2) the Ministry of Finance shall hold at least ten percent of the total shares sold. Clause 2 This

ใน TFEX จำนวน ลูกค้า   การซื้อขายอนุพันธ์ ในตลาดอื่น     Equity Interest rate Foreign exchange rate อื่นๆ Equity Interest rate Foreign exchange rate อื่นๆ ปริ มาณ ซื้อ ปริ มาณ ขาย รวม ปริ มาณ ซื้อ ปริ

about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting the client ’s asset which is under the following rules: (a) in case the client ’s

in accordance with laws, regulations, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have