Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various guidelines
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
under the law on securities and exchange (SC.) licensed to operate securities business in the category of: Ο securities broker Ο securities dealer Ο investment advisor Ο securities underwriting Ο mutual
liable to account for the ill-gotten profits. However, a fiduciary duty does not imply that the person must place their client or investors’ interests before their own. INVESTMENT ADVISOR COMPANY: WHO IS
1 ผลการรับฟังความคิดเห็นจากผู้เกีย่วข้อง (hearing) หลกัการ เร่ือง การเปิดทางให้ Investment Advisor สามารถอ านวยความสะดวกในการซ้ือขายผลติภัณฑ์ในตลาดทุนได้มากขึน้ 1. การรับฟังความคิดเห็น จ ำนวน 1 คร้ัง
ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give accurate and suitable investment
ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give accurate and suitable investment
1 ผลการรับฟังความคิดเห็นจากผู้เกี่ยวข้อง (hearing) หลักการ เร่ือง การสนับสนุนให้เกิดผู้ให้ค าแนะน าการลงทุนท่ีเป็นอิสระ (independent investment advisor/ LBDU) 1. การรับฟังความคิดเห็น จ ำนวน 1 คร้ัง 2