on Private Fund Management dated 31 July 2000; (4) Notification of the Office of the Securities and Exchange Commission No. SorNor. 49/2543 Re: Rules on Protection of Conflict of Interest on Investment
supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best
Investors and Private Funds ___________________________ By virtue of Section 16/6 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008
main objective is to promote and develop securities businesses in the category of investment management; “Private fund manager” means a director or an employee of a securities company licensed to
included in the private fund management agreement. 3.3.3 Acquiring and Delivering of assets of the fund Objective A management company shall have a clear rule of practices concerning the acquiring and
Services Related to Mutual Fund and Private Fund Management dated 29 November 2000 shall be repealed. Clause 3. In this Notification: “Fund” means any mutual fund or private fund; “Specified property fund
, services or the operation of fund management, or service of brokerage, dealing or underwriting of investment units such as a fund fact sheet; (2) “Fund” means any mutual fund or private fund; (3) “Securities
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
: 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
methods disclosed by the mutual fund management company under Clause 3(4) hereof. Chapter 2 Private Fund Management Clause 5. In cases where the private fund management company invests in or holds shares of