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
supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the aforesaid provision
members. Clause 29 To preserve the public interest and to protect investors, a derivatives clearing house shall disclose information about derivatives clearing and settlement, its members, breaches
Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities
authorised and supervised by the home regulator that is a signatory, and established for offering for sale under the Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an
Notification shall come into force as from 16 June 2021. Clause 2 In this Notification: “collective investment schemes” means foreign collective investment schemes authorised and supervised by the home regulator
meeting appointment letter to the committee not less than seven (7) days before the meeting except the case of urgent meeting to preserve company’s benefit, then, the meeting appointment will be sent to the
appointment of fund supervisor and in compliance with the Securities and Exchange Act B.E. 2535 (1992) as well as the duty to preserve the benefits of all unitholders. In addition, in the event of change of