. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties
structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a
executive. Clause 7. Unless otherwise specified in Clause 9, the derivatives broker intends to seek an approval for derivatives trading according to Clause 5 shall submit the application for approval to the
protect the customers’ optimum benefit, on the basis of integrity, prudence and due care. Clause 11. To ensure that the management company shall carefully invest or seek benefit for a fund from securities
appropriate. Clause 15. In cases where several claimants jointly file the dispute under Clause 8 and seek compensation collectively exceeding one million baht, the claimants may indicate their intention to
consent under the first paragraph of Clause 13 or the first paragraph of Clause 13/1, the private fund management company may seek a general consent from the client or the provident fund committee in
and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1
additional documents and evidence within the period specified by the Office. The Office shall deem that the applicant no longer wishes to seek an approval to become a fund manager in case where: (1) the
. Clause 14 A securities company shall require that any investor contact who wishes to give advice or conduct analysis of securities investment through media seek a prior approval from the securities company