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

. Balance at the beginning of 25x0 x x x x x x X (x) x x 2. Accumulation from correction of mistakes x x x 3. Adjusted balance x x x x x x x (x) x x Alteration between two periods 4. Appraisal surplus x x 5

passwords to maintain accountability; (2) allow users to select and change their own passwords and include a confirmation procedure to verify input errors; (3) require users to create strong passwords such as

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

or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes

financial statements (paragraph........); ( 5.5 Significant mistakes in financial statements arisen after dissemination and the financial statements required restatement (paragraph........); ( 5.6 Others

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

services (e.g. in terms of fees earned and/or potential embarrassment where mistakes are made)? 4 How are client relationships managed – are there separate client relationship partners or does the Registered