its business with honesty, fairness and integrity by strongly being concerned about the market integrity as a whole; (2) skill, care and diligence An intermediary shall conduct its business with due
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
results or going concern of the Company or its group of companies; - Investment risk imposed on the securities holders. Identify and clarify the risks of losing returns or rights or investment money, in
management views as material risks on the business, operation, financial condition, operating results or going concern or the group of companies; - Investment risk imposed on the securities holders. Identify
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
clarify the factors that may cause material risks on the business, operation, financial condition and the operating results or going concern of the Company or the group of companies, including risk issues
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
. 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
dealers in order that the derivatives dealers perform their duties with care, prudence and in the best interest of the client. Clause 8 The derivatives dealer shall not disclose false information or conceal
in derivatives by using its ability to fully protect and maintain the best interest of the customer on the basis of integrity, prudence and due care. Clause 7. In case the derivatives fund manager will