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

the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3

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

promulgation of this Notification is to improve forms for financial statements of securities companies and detailed explanations to be in compliance with accounting standards revised by Federation of Accounting

. 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

competitive, this Notification is issued to improve the rules regarding permission to establish branch offices so as to ensure that management companies are able to expand their business through opening of

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

ultimate controlling person, falls into one of the following situations, securities company shall classify the customer into a group that extra care is given and enhanced KYC/CDD process must be performed