) 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

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

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

General Regulations for Operation as Derivatives Exchange __________________ Clause 6 A derivatives exchange shall have sufficient funding to support its operation and manage potential risks from their

invitation to manage the affairs of a company or preclude a decision to sell a holding, where this is considered in the best interest of clients or beneficiaries. 2 The UK Stewardship Code (September 2012