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
the sales and services of Q1/2019 was 88.89% decreased to 83.36% on Q1/2020 or decreased 5.53% from sales due to more efficiency on manage of raw material and good production control. - Selling and
) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
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
the Trustee to manage the Real Estate Investment Trust [REIT] as specified in trust instrument shall be a person approved by the Office of the Securities and Exchange Commission. For the purpose of
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
. Implementation 34 5. Moving Forward 35 THE INVESTMENT GOVERNANCE CODE PRINCIPLES Principle 1 Adopt a Clear Written Investment Governance Policy 37 Principle 2 Properly Prevent and Manage Conflicts of Interest and
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of