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

Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the

that the trustee shall manage such property for the benefit of beneficiaries. This meaning includes a document showing the intention to create trust whereby a settlor and a trustee are the same person

approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be

whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented

shall establish the information security incident management in accordance with the following criteria: (1) establish procedures and processes to manage information security incidents; (2) define the

to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the