Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
preventive measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 163 An intermediary shall arrange to have a written
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
limit its liability for damage to the client caused by breaching the rules under this Notification by the intermediary, or directors, executives or other personnel of the intermediary. 6 Chapter 3
details of the outsourcing clearly in the details of the mutual fund project, or obtain a written consent from a client who is a private fund or a provident fund, as the case may be; (2) arrange a report on
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and