, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
; “Authorized person in private fund management” means the following persons: (1) Any person, who take responsibility in private fund management, from the position of private fund manager to manager in the case
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
shall: (1) have personnel in an adequate number for all types of work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable
: Governance of Enterprise IT Objective: Information technology systems are taken on a major role as a business driving force and constitute one of the core operating systems where disruption will have an impact
agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in
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
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors