our role and fiduciary responsibilities: Principle 1: Adopt a clear written Investment Governance Policy. Principle 2: Properly prevent and manage conflicts of interest and prioritise advancing the best
) 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 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
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. Decision-makers along all parts of the investment chain should be
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
, called a settlor, transfers or creates real right or any right appertaining to property to or for another person, called a trustee, with trust and confidence in order that the trustee shall manage such
, with trust and confidence in order that the trustee shall manage such property for the benefit of beneficiaries. This meaning includes a document showing the intention to create trust whereby a settlor
appropriate capacity and experience to oversee effectively and manage all relevant activities in the interests of beneficiaries or clients. 1.4 Conflicts of interest, codes of ethics, compliance Institutional
the proceeding of an established fund in Part 2; (3) the administration and management of a fund in Part 3. Clause 5 A management company shall administer and manage a fund with responsibility, due care