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
Exchange Act (No. 2) B.E. 2542 (1999) , the Capital Market Supervisory Board hereby issues the following regulations: Clause 1 In this Notification: The terms, “ institutional investor ,” “ ultra-high net
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
Commission Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation _____________ By virtue of Section 109 of the Securities and
------------------------------ The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. SorThor. 24/2550 Re: Calculation and Report of Net Liquid Capital Calculation (No. 2) _____________ By
) Systems for supervising the augmentation and the cancellation of investment units of mutual funds, and for examining and verifying the calculation and the announcement of asset values, net asset values and
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
is strictly for reference. 5 Notification of the Securities and Exchange Commission No. KorThor. 18/2549 Re: Maintenance of Net Capital ___________________________________ By virtue of Section 14 and
and Exchange Commission No. Kor Jor. 4/2560 Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor ___________________________ By
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of