defining responsible personnel to report and deal with malware threats; (4) regular reviews of the software and data content of systems supporting critical activities . The presence of any unapproved
pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of
by the Government, the company having problem in debt payment, or in the existence of business the company which is potentially revoked from being the listed company in the securities exchange etc
exceeds fifty percent of the total paid-up shares with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in a number exceeding fifty percent of
with voting rights of the company being held, or an individual holding shares of the company in any subsequent level in the number of exceeding fifty percent of the total paid-up shares with voting
the duty of a director, a manager or a person with power of management, or an advisor: (1) being or having been a bankrupt; (2) having been imprisoned by the judgement of a court which is final for an
result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
EDITED PAGE (Unofficial translation) PROVIDENT FUND ACT B.E. 2530 * BHUMIBOL ADULYADEJ, REX., Given on the 30th day of November B.E. 2530; Being the 42nd Year of the Present Reign. His Majesty King
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The