on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
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(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
(Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliam...
payments under Section 23/2 or to transfer the amount of benefits maintained in the fund under Section 23/3 to the retirement mutual funds or any other fund with the objective to serve as a security for
property, incomes, expenses and debts of the trust and any relating accounts of the trust; (4) oversee and collect interest of the trust; (5) allocate interest to beneficiaries; 14 (6) control, audit and
as collateral for securities trading of any person; (6) allowing any person to receive benefits or oversee payments related to or because of one’s own securities trading; or (7) transferring or
a mutual fund and shall monitor and oversee acts that may cause a conflict of interest to the unitholders and any acts that may have an unfair characteristic toward the unitholders or may cause the