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
company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
service to the Office not less than fifteen days before the using such service. Clause 6. The securities company shall arrange a written contract with service provider, that should cover the following
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
supervisor within seven business days from the date the unit value is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office
authorized by the board of directors of the company to take the highest responsibility in managing the company, regardless of the title; (3) “institutional investor” means institutional investor under Section
Notification: “ business operator ” means: (1) a securities company licensed to undertake securities business in the category of securities brokerage or securities dealing which is not limited to debt securities