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
first paragraph, the supervisor may authorize other company to perform such duty if the securities company is able to demonstrate that the authorized company is able to effectively perform duty as
person of the company. Such authorized person must not be either a staff who prepares client’s assets account or a staff who keeps the client’s assets. Clause 6. A securities company must issue rules or
2000 shall be repealed. Clause 2. In this Notification, “Mutual fund manager” means a director or an employee of a management company who is authorized by the management company to make decisions
any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities exchange; “Management company” means any mutual fund
appointed as a coordinator for information relating to the said director and executive. Name Title Signature* 1. 2. * Authorized signatory of the company shall sign this Form and affix the corporate seal
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
person to be an authorized director). If the shareholders identified above do not represent the true shareholders, for example, those identified as a holding company or a nominee account, identify the
person who is authorized by a management company to have power to make decisions on investments for a fund; “Association” means any association relating to securities business, which has been approved by
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade