are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient
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
13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of the customer. (2) Treat
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
information systems. (5) implement procedures to control the installation of software on the operating systems and establish measures to restrict the installation of software by users to ensure the integrity of
Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities
(นางสาวรื่นวดี สุวรรณมงคล) เลขาธิการ ฝ่ายนโยบายธุรกิจตัวกลาง โทรศัพท์ 1207 กด 7 “สำนักงาน ก.ล.ต. ได้รับรางวัลรัฐบาลดิจิทัล ปี 2563 (DG Awards 2020) และรางวัลชมเชยองค์กรโปร่งใส (NACC Integrity Awards) ครั้ง