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

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

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

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

that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the

to inform you that I have been resigned from ………………………….…(last audit firm’s name) since………………………. and transferred to work with……………………………(current audit firm’s name) since………………………… Yours Sincerely

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

guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles

mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on