for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
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
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
governing the business operation of such person, and has no reasonable grounds to be believed that its financial condition has worsened significantly during the course of one year preceding the date when the
from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk
derivatives and publicly announced those analysis. (7) “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
the Operation of Securities Underwriting dated 23 November 2000; (4) Clause 6 of the Notification of the Securities and Exchange Commission No. KorNor. 23/2544 Re: Rules, Conditions and Procedures for