Information on the laws and regulations relevant to performing duty as Recognised Representative in ACMF member countries Professional Mobility ACMF Pass framework Products : shares, bonds, units of

DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning

upon publication in the Government Gazette. Chapter 1 Supervision of Trust for Transactions in Capital Market __________________ SECTION 8 The SEC shall have the power and duty to formulate policies to

SECTION 8 The SEC shall have the power and duty to formulate policies to promote, develop and supervise trust for transactions in the capital market. Such power and duty shall include: (1) the issuance of

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA

Supervising the capital market Strengthening confidence and trust Ensuring fairness, transparency and integrity 20T H ANNIVERSARY 15 As a public body with the duty to promote, develop, and supervise the capital

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

Commission No. SorNor. 31/2554 Re: Rules, Conditions and Procedures for Appointment and Performance of Duty of Infrastructure Fund Manager By virtue of the provision in Clause 5, Clause 7 and Clause 82(1) and

under the supervision or the SEC, the Capital Market Supervisory Board or the Office. 3 Where person having characteristics under (5) or (6) is appointed, the appointed person shall perform his duty only

6.0 Key concepts and definitions 20 7.0 Annexes 22 Contents 6 1.0 Principles for Internal Governance 1.1 Fiduciary duty The culture, activities and role of all institutional investors should focus on