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
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
Exchange Commission governing establishment of mutual funds and execution of agreements for management of private funds; (14) “mutual fund management company” means a securities company licensed to undertake
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
provisions of the first paragraph shall not apply to the assets or persons as follows: (1) client’s assets which is a mutual fund, private fund or other similar funds managed by a securities company, acting as
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551
category of mutual fund or private fund management, or derivatives investment management company; “ fund ” means mutual fund and private fund; “ investor ” means any person interested in investing in capital