of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a

according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each

its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

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

person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

and lending (SBL); “Central securities depository” means any central securities depository under the law on securities and exchange; “Depositor” means a person approved by the central securities

. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with

secondary market) มีความเป็นธรรมต่อลูกค้า เช่น - กรณีที่มีการส่งคำสั่งซื้อขายผ่านระบบ central dealing และเวลาในการ ส่งคำสั่งเกิดขึ้นในช่วงเวลาเดียวกัน บริษัทต้องส่งคำสั่งซื้อขายให้ลูกค้าก่อนด้วยราคาที่ดี

กำหนดวิธีการและขั้นตอนที่จะทำให้การซื้อขายหลักทรัพย์เดียวกัน ของลูกค้าและของบริษัทในตลาดรอง (organized secondary market) มีความเป็นธรรมต่อลูกค้า เช่น - กรณีที่มีการส่งคำสั่งซื้อขายผ่านระบบ central dealing