such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected by law. For example, they shall not be suspended, threatened, interfered with work or
5.1.1 The board should prioritise and promote a corporate culture that embraces innovation and ensure management’s inclusion of innovation in corporate strategy, operational development planning, and
investors are appropriately protected, while the business sector and market operators achieve competitiveness through development of various investment products and services. In this regard, the SEC has
and suppression, regardless of whether it is Thai or foreign law; (4) within three years preceding the year of filing application toward the date of obtaining the license, not have operational records
that its operational system will be prompt for operating securities business in the category of mutual fund management; (5) be able to show that its human resource will be prompt and adequate with a view
required; Analyzing and assessing financial positions and the operational results of the business activities, as well as impacts on the shareholders, to come up with recommendations for the shareholders to
(example of such issues include operational issues such as a change of a mutual fund management company, or a fund supervisor); (B) A matter that affects unitholders in all classes with different degree
อยู่ในแผนดำเนินการ (operational plan) เพื่อให้มั่นใจได้ว่า ทุกฝ่ายขององค์กรได้ดำเนินการสอดคล้องกับวัตถุประสงค์ เป้าหมายหลัก และแผนกลยุทธ์ (strategies) ของกิจการ หลักปฏิบัติ 5.3 คณะกรรมการควรติดตามดูแล