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
in accordance with laws, regulations, codes of conduct and relevant professional standards; (7) conflicts of interest An intermediary shall manage conflicts of interest fairly, both between itself or
that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
overall creditworthiness as professional. Clause 3. The mutual fund management company shall be approved by the Office to establish and manage a mutual fund in accordance with the following rules: (1) The
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
benefit of beneficiaries, a trustee has the duty to manage a trust with integrity and prudence as a professional with expertise by providing fair treatment to beneficiaries. In furtherance of the
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the