Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the
which are enforceable on other derivatives clearing houses in tiered participation arrangements; (3) ability to demand or enforce collateral promptly; (4) sufficient sources of funds to handle risks
who are in Contact with Investors ● Mutual Fund Management Business ● Revision of Rules on Securities Underwriting ● Law Enforcement 52 GOAL 4 Preserve Market Fairness and Transparency, Understand
owners tend to maintain control over firms and to be reluctant to disclose information, raising concern for good corporate governance. It was highlighted that significant challenges for family-controlled
2018 and 2019 were 18.9% and 17.6% , respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration
sources of funds to handle risks arising from connected services. In cases where a central securities depository desires to provide tiered participation arrangements with another central securities
honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. The securities company shall have a policy on prevention of conflicts of interest in managing
1 (-Translation-) Ref. No. IRS.025/2019 October 31, 2019 Subject Acquisition of Shares in Hello Bangkok LED Co, Ltd., which is an Assets Acquisition Transaction of the Company, Issuance and Offering of the Newly Issued Ordinary Shares of the Company through a Private Placement which is a Connected Transaction, Capital Reduction, Capital Increase, Entering into the Right to Sell Advertising Media Agreement which is a Connected Transaction, Appointment of the Independent Financial Advisor and Call...