representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
-border transport 119.48 0 119.48 100 Logistics Management 85.47 85.06 0.41 0.48 Total Service Revenue 537.80 429.18 108.62 25.31 1. Revenue from marine cargo handling for the 3 months period ended 30 June
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
cargo handling For the three-month period Ended March 3 1 , 2 0 1 9 and March 3 1 , 2 0 1 8 , equal to 174 .70 million baht and 142 .96 million baht respectively, increased by 31 .74 million baht or 22
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
the Trustee to manage the Real Estate Investment Trust [REIT] as specified in trust instrument shall be a person approved by the Office of the Securities and Exchange Commission. For the purpose of
General Regulations for Operation as Derivatives Exchange __________________ Clause 6 A derivatives exchange shall have sufficient funding to support its operation and manage potential risks from their
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and