interest of our members. Principle 3: Oversee asset managers to make informed investment decisions and engage in active ongoing monitoring of investee companies. Investment decisions should take into account
compliance such as training etc. [M] o Providing an oversee system the operation of officer under the policy strictly [M] (Translation) -3- o providing an inspection and assessment of the sufficiency of policy
Under the SEA, the SEC has the duty to promote, develop and supervise the Thai capital market to ensure reliability, transparency and fairness for all parties concerned. In fulfilling this mission, the
positions in such management company except where such positions are under the vertical line of command or do not cause any conflicts of interest with the management of mutual funds; (2) Having attained the
association registered under Thai law having the purpose to regulate and supervise members for practicing profession as an appraiser to comply with rules, standards and ethics regarding appraisal profession
day of 20th March B.E. 2558 Being the 70th Year of the Present Reign. His Majesty King Bhumibhol Adulayadej has graciously issued a royal command to announce that: Whereas it is expedient to amend a law
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
Adulyadej, Rex., Given on this 27th day of June B.E. 2540 Being the 52nd Year of the Present Reign. His Majesty King Bhumibhol Adulyadej has graciously issued a royal command to announce that: Whereas it is
Present Reign His Majesty King Bhumibhol Adulyadej has graciously issued a royal command to announce that, Whereas it is expedient to enact a law on special purpose juristic persons for securitisation, H.M