person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal

management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy

© OECD 2015 5 I) Ensuring the basis for an effective corporate governance framework; The chapter emphasizes the role of corporate governance framework in promoting transparent and fair markets, and the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

ขวัญและของกำนัล ทุกชนิดจากการปฏิบัติหน้าที่ (No Gift Policy) - คำสั่งแต่งตั้งคณะทำงาน ด้านองค์กรโปร่งใส https://www.sec.or.th/ TH/Documents/About Us/Corporate- transparent- workinggroup.pdf - นโยบาย

firm – a. Undertakes only those engagements that the firm can reasonably expect to be completed with professional competence b. Appropriately considers the risks associated with providing professional

transparent, fair and free from anti-competitive situations;        (2) Post-approval duties of the association: The association shall perform its duties in accordance with good governance principles and

transparent and fair management in line with international standard good governance guidelines, we are building trust and confidence of in all parties involved, including stakeholders and market participants

competence of investment in a variety of  products and enhancing intermediaries? competitiveness in preparation for the BOT?s Capital Account Liberalization Plan, the SEC has promoted dissemination of