Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
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
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the
client; (c) to assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing
Office by accompanying with other information in which management company has the duty to deliver via the Investment Management Reporting System or Private Fund Provident Fund Reporting System as specified
evaluation, reporting to the delegator, an inspection of compliance to the agreement and the capability of the delegatee in handling the business workload (concentration risk). 3. There should be a contingency
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
technology governance in accordance with the following criteria in order to implement the information technology governance policy of the intermediary as specified under Clause 5: (4) Reporting on the