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
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
settlor transfers trustfully the money received from the offering to the trustee in order that the trustee may manage the assets for the benefit of the unit holders”, and, “once the trust becomes valid, the
licensing or registration or authorization with the Home Regulator is still valid, the enforcement action by Home Regulator is subject to Home Jurisdiction’s Laws and Regulations. 13 Appendix 1 : Recognised
that such approval shall be valid until 31 December 2013. Clause 3. Provision in Clause 2 shall not be applicable with personnel in the capital market that uses qualification of directorship or executive
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
reported earnings objective - to avoid loss - to increases in annually earnings - to meet analysts’ earnings forecasts 4 Motivations to Manage Earnings Internal factors External factors Firm’s
order to maximize benefit for the Company, the Management decided to manage liquidity by invested in short-term promissory notes of Asia Capital Group Public Company Limited in the amount of THB 100
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities