Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
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
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
. Derivatives broker shall arrange to have information system to ensure the information related to undertaking derivatives business, both in document or electronic format, are accurate, complete, can be able to
as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit
result of the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application together with supplemental documents. In case the
personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the