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
. In this Notification: “Mutual Fund Management Company” means a securities company licensed to undertake securities business in the category of mutual fund management; “Private Fund Management Company
Commission Notification of the Securities and Exchange Commission No. Kor Thor. 65/2547 Re: Rules for Undertaking Derivatives Business for Licensed Derivatives Broker _____________ By virtue of Section 9 and
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
closed-end fund and open-end fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
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
___________________ Clause 10. In renewal for approval for investor contact, the applicant shall: (1) having attended a training, activities, or additional courses to review the relevant business knowledge and
undertake securities business in the category of mutual fund management; “ private fund management company ” means a securities company licensed to undertake securities business in the category of private
business. Clause 9. In maintaining the status of being listed in the register of person qualified to be fund manager, a person shall: (1) Attend a refresher course relating to securities and exchange laws