professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
investments on the basis of integrity and prudence, exercise their knowledge and expertise as professional to ensure the full protection of investors’ interest, as well as provide proper and sufficient
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
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
Certification of auditor’s professional qualification Date ........ Month .......................... Year ............... Dear Secretary General of the Securities and Exchange Commission of Thailand
offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued
force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016
allocation shall come into force as from 1 April 2016. Chapter1 General Provisions _____________________________ Division 1 Regulatory Purpose _____________________________ Clause 2 Due to the undertaking of