Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
Rules on Transactions for Clients with Intermediaries or Connected Persons shall be in accordance with Chapter 2; (3) Disclosure of Information related to Acts That May Cause a Conflict of Interest shall
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management system to prevent damage
) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and effective; (7) having systems and measures for preventing conflict of interests at least
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
effective; (7) having systems and measures for preventing conflict of interests at least in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for
ทรัพย์ ในประเด็นที่เป็นปัญหาที่พบบ่อยครั้ง ต้องทำ due diligence เพื่อตรวจสอบว่าไม่มีปัญหาในประเด็น ดังต่อไปนี้ 1. บริษัทมีโครงสร้างชัดเจน เป็นธรรม และไม่ก่อให้เกิด conflict of interest 2. หากบริษัทมีการทำ
Which May Constitute a Conflict of Interest in the Management of Mutual Funds in the part related to conclusion of transactions for property funds, mutatis mutandis ; (b) related party of a fund which