notification of the Office; (5) doing any other act that may cause a conflict of interest as specified in the notification of the Office. SECTION 140. The securities company shall prepare an account showing the
paragraph with intention, dishonesty or gross negligence. SECTION 31 In managing a trust, a trustee shall be prohibited to act in conflict of interest with the trust regardless of whether such act is done for
liability arising from failure to perform the duty under the first paragraph with intention, dishonesty or gross negligence. SECTION 31 In managing a trust, a trustee shall be prohibited to act in conflict of
a mutual fund and shall monitor and oversee acts that may cause a conflict of interest to the unitholders and any acts that may have an unfair characteristic toward the unitholders or may cause the
in conflict of interest with the trust regardless of whether such act is done for the benefit of its own or others’, except where it is the trustee’s claim for its remuneration or where the trustee is
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
other than those should be ordinarily obtained or causes damages to the company, shall be presumed as the act in significant conflict with the interest of the company: (1) entering into transaction
expeditious and fair alternative dispute resolution, the customer may request to enter into an arbitration process as organized by the SEC Office for the settlement of civil dispute incidental to or resulted