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
. Clause 3. In order to ensure that representatives shall render services with honesty and due care for the best interest of investors as well as provide appropriate and adequate information in line with
such funds with honesty and integrity by exercising their knowledge, competency and expertise with due care and prudence of the same standard or in the same manner as a professional. Clause 3 In managing
company licensed to undertake securities business in the category of investment advisory service; “person with power of management” means a person responsible for a line of work relating to investment
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
are reliably 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
power to make decisions on the company’s operation on behalf of the board of directors; “Register of Persons Qualified to be Fund Manager” means the register of persons who are approved by the Office of
have the power to specify in its notification the rules with which derivatives business operators shall comply.
Section 7 Securities and Exchange Act B.E. 2535 Section 7. The Minister of Finance shall be in charge of the enforcement of this Act and shall have the power to issue ministerial regulations and
will be ready, and such personnel shall have knowledge, abilities and experience appropriate for the nature of the responsible jobs and shall have integrity, honesty, professional ethics, fundamental