Redemption and Marketing Representatives of 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
Marketing Representatives of 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
Exchange Commission No. KorNor. 69/2547 Re: Rules, Conditions, and Procedures for Approval of the Private Fund Custodian By virtue of Section 14 of the Securities and Exchanges Act, B.E. 2535 (1992) and
each type of business: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management; (6) derivatives broker. Clause 6 The total
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
brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management. 1The provision under Paragraph 1 shall not be applicable to a licensee under Paragraph
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; “ fund ” means any mutual fund and private fund
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
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
No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By