honesty and integrity based on their career records, as well as having skills and experiences which are beneficial to the business operation; (4) being able to show the readiness of its work system and
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
applicant shall submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and shall pay the application fee for approval to be investor contact
applicant shall submit information and documents evidence as per the form and procedures provided in the Office’s electronic work system, and shall pay the application fee for approval to be investor contact
managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers which shall be submitted prior to the appointment
the following documents relating to its fund managers in accordance with forms and procedures provided in the electronic system in the web site of the Office: (1) report on appointment of fund managers
and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business
Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct its business with honesty, fairness and
Representative to give advice on CIS in Host Jurisdiction. (4) The Recognised Representative’s performance of the activities as provided in item 3.2.1(2) can be through physical presence and electronic means
derivatives business, both in document or electronic format, are accurate, complete, can be able to efficiently use within appropriate time, including having security system sufficient to prevent an access or