แนวปฏิบัติการส่งข้อมูลผ่านระบบ IPOS และวิธีการส่ง hard copy สำหรับตราสารหนี้ 1 ฝ่ายจดทะเบียนหลกัทรัพย์ตราสารหนีแ้ละตราสารอื่น ระบบออกและเสนอขายหลักทรัพย์ INITIAL PRODUCT OFFERING SYSTEM (IPOS) ปรับ
our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order that the trustee shall manage such
person to manage trust property under Section 37, the trustee shall thoroughly and carefully select such person as well as supervise and audit the delegated management adequately. The SEC shall have the
that are difficult to detect. For example, (1) fraudulent transactions through a subsidiary located overseas that has obscure business objectives and is hard to inspect, (2) trading transactions and
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. Decision-makers along all parts of the investment chain should be
duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports
. 2535 (1992) (SEC Act). Pursuant to the SEC Act, the SEC is empowered to supervise and develop the primary and secondary markets of the country’s capital market system as well as securities-related
2021 3 No. Question Answer Applicants may submit hard copies of the application documents at the SEC office during business days at 8:30 am – 4:30 pm (BKK time) or submit soft copies by email to
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional