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

derivatives, products or variables prescribed in a derivatives contract, in accordance with the rules specified in the notification of the SEC Office. Chapter 3 Operation

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

approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the

business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party

Office. In the case where the investment advisory company intends to appoint an investment advisory agent, it shall make an appointment contract in writing. The appointment contract shall determine the

insurance policy issued by life insurance company to the insured as evidence that the insured and the life insurance company have signed a contract of life insurance and a contract of investment in investment

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

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

insurance company have signed a contract of life insurance and a contract of investment in investment units with an agreement that the insured shall pay premium to the life insurance company for protection