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
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
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the
company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
to demonstrate to the SEC Office that such person has access to and is capable of examining information necessary to make investment decision in securities being offered and that it is not necessary to
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
to receive assets proven by evidence to be the client’s assets under possession of an intermediary under receivership by court order, the person with the proceeding power shall segregate and manage the
Exchange Commission can manage risk or make arbitrage with trading of securities or derivatives relating to gold in foreign countries, it is therefore necessary to issue this Notification in order to monitor