its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due

Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to

virtue of law, and Clause 1 of the Notification of the Capital Market Supervisory Board No. TorThor. 59/2552 Re. Criteria and Schedule to Submit Reports of Securities Companies dated 3 August 2009, the

. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with

dealers in order that the derivatives dealers perform their duties with care, prudence and in the best interest of the client. Clause 8 The derivatives dealer shall not disclose false information or conceal

in derivatives by using its ability to fully protect and maintain the best interest of the customer on the basis of integrity, prudence and due care. Clause 7. In case the derivatives fund manager will

ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed

. Remarks : Persons or businesses related to the auditor and the audit firm include: (a) spouse and child dependent on or under the care of the auditor; (b) business with power of control over the audit firm

closure on a branch office or order the management company to refrain from establishing a new branch office: (1) it appears that the branch office operates with dishonest and without due care to the