(Renewable) • A CMSL holder is accountable and responsible to monitor its RR and must comply with the requirements and conditions as prescribe by the SC including reporting requirements, to have proper
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
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
approved by the Office must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without
knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of (Translation) 3 integrity and honesty and without any disgraceful record, and must
period of his ACMF Pass. (b) a Recognised Representative may be attached to more than one Licensed Firm at the same time; the attached Licensed Firm is obliged to monitor the conduct of the Recognised
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
company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the