-- DRAFT Principles -- (Unofficial Translation) PAGE (Unofficial Translation) - 2 - Readers should be aware that only the original Thai text has legal force and that this English translation is
market. Division 2 Principle for business operation of an intermediary _____________________________ Clause 3 For legitimacy of business operation, an intermediary is obligated to the principles as
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 2. Nature of business In case
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
. In this regard, if the intermediaries proceed differently from this practice guidelines, the intermediaries shall have an obligation in proving that such proceeding is still under the principles and
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
shareholders' rights and ensures fair treatment or how the corporate management works for the best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the
operate the business, and shall be in accordance with the following outsourcing principles at any level of outsourcing: (1) having duties and responsibilities to clients and operating for the best interest