Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
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
Finance on the condition that the holder shall be able to redeem on a fixed price or a minimum price as specified on the issuance date of such bond. Clause 12 In order to appoint or assign any person to
Exchange Commission No. Kor Thor. 33/2560 Re: Maintenance of Financial Condition of Licensed Derivatives Broker ________________________ By virtue of Section 9 and Section 49 of the Derivatives Act B.E. 2546
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
been made, the remaining commissioners shall retain their offices on the condition that there are at least six persons holding such position. SECTION 12. At least half of the commissioners of the SEC
ค่าตอบแทนที่ได้รับเนื่องจากการนำเงินของกองทุนรวม หน่วยลงทุนนั้นไปลงทุนในหน่วยลงทุนของกองทุนรวมต่างประเทศ (loyalty fee หรือ rebate) เข้าเป็น ทรัพย์สินของกองทุนรวมหน่วยลงทุน หากบริษัทจัดการได้ดำเนินการตาม