Section 133 Securities and Exchange Act B.E. 2535 Section 133. The securities company shall manage a private fund with honesty and care to preserve the interests of the person who has authorized the

interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

arrange for the branch office to have a manager appointed by the head office to manage the operation and personnel of the branch office within the permitted scope of services. Clause 10. The online branch

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

apart from sub clause (a), the period of approval of all types shall cease on the expired date of the latest approval. Clause 17 The application for renewal of approval of personnel under Clause 8(1), (2

securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the