practices which can prevent the misuse of client’s assets: 1. Operation manual on the payment made from the client’s private fund account. The custodian shall not make any payment from the client’s private

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

investment units or payment of yields to members of a private fund, which is a provident fund, including such case where there is an incorrect calculation of the number of units or value; (2) Fees or expenses

mutual funds or provident funds , the payment for redemption of investment units or the payment of benefits to members of private funds that are provident funds , including the incorrect calculation of 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

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

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

private fund which is a provident fund, the management company should deliver the securities and assets to the new custodian. 3.3.4 Payment of dividend Objective A management company shall have a system for