under its responsibility Ensure that units offered for sale exclusively for high net worth investors are not allocated to retail investors Oversee to ensure that the trust is not becoming a private trust
. A trustee's main duties are to: oversee that the trust instrument is established in conformity with relevant laws; appoint a trust manager; prepare a trust property account in segregation from a
lawyer or the Lawyers Council of Thailand under the Royal Patronage. How SEC Complaint Center handles a complaint: ● SEC Complaint Center will commence handling of your complaint when it has been
an independent director) Trustee's duties A trustee shall have a trustee license and is independent from a trust manager. A trustee's main duties are to: oversee that the trust instrument is
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment
receiving a payment for a securities trading for any person; 5. Placing money or other assets as collateral for securities trading of any person; 6. Allowing any person to receive benefits or oversee payment
private fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
mutual fund management shall commence securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its
conflict of interests, oversee dishonest acts or connected transactions of directors and executive, as well as to ensure that executive director has performed duty in accordance with the assigned authority