information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating guidelines for the personnel of the intermediary

total revenue from the other clients thereof. 7. Safeguards against independence impairment of the partners in the Audit Firm Please explain the safeguard against independence impairment of the partners

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

Section 91 Securities and Exchange Act B.E. 2535 Section 91. Where it is necessary to maintain the economic and financial stability of the country, or to protect the public interest, the Minister

concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the

client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a

management arrangement for the organization of information security in accordance with the following criteria: (1) define and document information security roles and responsibilities and establish operating

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

shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at

Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as