. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
instruments issued by PTT Public Company Limited . In order to protect the investors’ interest and legitimate right and ensure that they are treated fairly, it is therefore necessary to issue this Notification.
of other companies with a purpose to gain control in such companies rather than to invest for ordinary returns; (8) “Subsidiary company” means (a) Any company whose 75 percent or more of its total
, business manner or circumstance, and services providing; (3) provides quality services [to the client ] and treats the client fairly and equally by taking account of types, nature and conditions of the
fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of
nature of investors does not correspond to the scheme as approved by the Office. Once the approval has ceased, the management company shall fairly return payments for subscription for investment units to
conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with
need to resign; · require the documentation of all considerations and justification where firm chooses to safeguards against rather than eliminate a threat; · prohibit audit team members from making or
avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) Not support, instruct or cooperate with any person to act in violation of the law on