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

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

_____________________________________________________________________ Remark : The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets

administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function

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 may arisen from conducting business to be

. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with

) rating mutual fund and publishing the information on mutual fund rating with honesty, fairness, impartial, independence as well as due care for the sake of information recipients; (3) indicating the

such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing

will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental

must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must