identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices
where the private fund management company is a limited company or public limited company under clause 2 (6) of Ministerial regulations No. 15 (B.E. 2543) in accordance with the provision of the Securities
and efficient management of risks, in line with the good corporate governance principles. Provisions in the Notification No. Sor Thor. 37/2559 Clause 5 An intermediary shall establish a documented
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6) (7) (8) and (9) and harmonize with the elaborate
of persons which Section 29 in conjunction with Section 33, Section 34, Section 36, Section 41, Section 43 and Section 45 of the Constitution of the Kingdom of Thailand so permit by virtue of law, the
” means the amount of money which a management company receives from selling units and is registered with the SEC Office; (17/1)8 “ auditor ” means a certified public accountant who has obtained an approval
director, manager or person with power of management; (3) “Person with power of management” means executive director, deputy manager, assistant manager, department director, branch manager and shall also
approval term, considering the graduation year, in either one of the following fields: (i) Business administration, finance, accounting or economics; (ii) Any field with at least half of the curriculum
of the securities from a company or owner of securities for sale to the public in consideration of a fee or other remuneration whether with or without any conditions. "mutual fund management" 3 means