shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
all services performed for clients, including services performed by entities closely aligned through common employment and other means, and evaluating whether any of those services might impair
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
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5
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