-- DRAFT Principles -- (Unofficial Translation) PAGE (Unofficial Translation) - 2 - Readers should be aware that only the original Thai text has legal force and that this English translation is
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
market. Division 2 Principle for business operation of an intermediary _____________________________ Clause 3 For legitimacy of business operation, an intermediary is obligated to the principles as
) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
operation, an intermediary is obligated to the principles as prescribed in the Notification of the Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives
the Securities and Exchange Commission No. KorThor. 18/2554 Re: Principles for Undertaking Securities and Derivatives Businesses __________________ By virtue of Section 14 of the Securities and Exchange
auditing standards and I will perform audit work in compliance with the standards; 7. I entirely understand the Generally Accepted Accounting Principles (GAAP); 8. I entirely understand my responsibilities
International Standards on Auditing and I will perform audit works in compliance with the standards. 7. I entirely understand Generally Accepted Accounting Principles (GAAP). 8. I entirely understand my
ค่าตอบแทนที่ได้รับเนื่องจากการนำเงินของกองทุนรวม หน่วยลงทุนนั้นไปลงทุนในหน่วยลงทุนของกองทุนรวมต่างประเทศ (loyalty fee หรือ rebate) เข้าเป็น ทรัพย์สินของกองทุนรวมหน่วยลงทุน หากบริษัทจัดการได้ดำเนินการตาม
results not lower than Broadly Implemented or equivalent based on the Objectives and Principles of Securities Regulation of the International Organization of Securities Commissions (IOSCO) regarding