management • In managing a mutual fund, the AMC must proceed with honestly and care to preserve the interests of all unitholders, using knowledge and competence as a professional. • The AMC must have a policy
(1/2) of Section 21 of the Securities and Exchange Act B.E. 2535: “(1/1) not reaching the age of sixty years on the appointment date; (1/2) having knowledge, capabilities and expertise on capital
______________ 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 management of the private fund, using knowledge
. "securities business" means any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4) securities underwriting; (5) mutual fund management
service; (4) securities underwriting; (5) mutual fund management; (6) private fund management; (7) other businesses relating to securities as specified by the Minister upon recommendation of the SEC
than one year; (5) being an officer or an employee of the Office; (6) being a manager or a person with power of management of the operation of securities business, the Securities Exchange, over-the
, which are capable of protecting the computer system and computer data as well as the management of risks associated with crime or other causes; (4) appropriate accounting systems for the business and
the computer system and computer data as well as the management of risks associated with crime or other causes; (4) appropriate accounting systems for the business and auditing by the auditor approved
following the date of its publication in the Government Gazette. SECTION 3. The definition “mutual fund management” in Section 4 of the Securities and Exchange Act B.E. 2535 shall be repealed and replaced
subcommittee to perform any matter as designated. The subcommittee under the first paragraph shall consist of a chairman and at least four other qualified members with the knowledge and expertise in relation to