securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of

business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best interest of investors based

: The company will adjust the exercise price and exercise ratio. When one of the following events occurs The objective is to protect the benefits of the Warrant Holders not to be inferior 1. When there is

Objective: To protect against loss of data. Provisions in the Notification No. Sor Thor. 37/2559 Clause 23 An intermediary shall establish measures for operations security relating to information systems in

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

Market Association, as the case mat be; “Association” means association related to securities business authorized from the Office to establish and register with its objective to support and develop

Thai Bond Market Association, as the case mat be; “Association” means association related to securities business authorized from the Office to establish and register with its objective to support and

Organisational structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission

beneficiaries or clients over an appropriate time-horizon. An investment institution’s investment policy and mandates with services providers should be consistent with the objective of delivering value over the