that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
companies. After being appointed as an independent director, that independent director may be assigned by the board of directors to make a decision on the business operation, the parent company, subsidiary
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
Assigned Not assigned Private Funds The private fund management company to exercise the voting rights on the client's behalf, the company shall act as follows: 1) Exercise voting rights at a meeting of
Fining All the five administered laws stipulate that certain offences could be settled by a criminal fine.The Criminal Fining Committee appointed by virtue of such laws determines the fine. After the
juristic person with the SEC Office and managing fund of the juristic person so established, in which case the juristic person's personnel may be appointed to participate in management of enterprise in which
the SEC views that the appointed directors have infamous conducts, or there is a cause to reasonably suspect of their being threats to the economy and stability of the country or to the public order or
the untrustworthy characteristics. 4. In case of foreign companies, 4.1 Offering of the bonds is legally made under the foreign laws and regulations. 4.2 Representative is appointed in Thailand