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

custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b

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

restriction (4) Commencement date and expiry date of the agreement (5) Procedure for appointing a custodian (6) Information that should be disclosed to the client and the duration of such disclosure 6.1

of the risk management or allocation of IT resources in a year, etc.; (b) any progress of the IT project (if any); (c) any compliance with the regulations, rules or agreement made with external parties

providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the

keeping the password in the safe etc. and restriction for the necessary case only · Specifying the compliance period and instantly when that period had lapse. · Change the password strictly in case of the

. 2. Scope of Agreement under HK-TH MRF MoU HK-TH MRF MoU specifies the scope of agreement between SFC and SEC concerning mutual recognition of laws and regulations and the scope of cooperation to

management company as representative for soliciting of customers to enter into an agreement with the private fund management company; “Management Company” means a mutual fund management company, a private fund