diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
representative to coordinate matters such as information disclosure and delivery of documents and so forth. 1.3 Filing of application The applicant shall file an application together with complete supporting
Section 135 Securities and Exchange Act B.E. 2535 Section 135. In the management of a private fund, the securities company shall arrange for the appointment of a custodian with an approval of the
Offices dated 2 April 2008 shall be repealed and replaced with the following provision: “Clause 5. The securities company shall arrange for the full-service branch office to have the following work units
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and
Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an operating system which
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an