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
, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities give force to the securities company including ethics and professional
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
Kingdom of Thailand so permit by virtue of law, the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ intermediary ” means a securities company and
results on the quality control system, especially the risks associated with the non-compliance with the policies, procedures, standards on auditing, the Code of Ethics for Professional Accountants, and the
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
management company, mutatis mutandis , only the part of investment management; (2) perform duties by adhering to ethics and professional standards issued by the association and approved by the Office, mutatis
the company, regardless of the job title; “Fund Manager” means mutual fund manager or private fund manager; “Department Director” means any person responsible for the work of a department in the company
licensed CPAs or of assistant auditors in such audit firm, do not hold shares of the company or its subsidiaries for which the applicant is the auditor; 3. I or a person with equivalent authority in the