Clients of Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide
restrictions or duties; (5) avoids any action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and
action which may cause conflicts of interest or cause business operation out of reaching professional standards unless it is the action performed under the rules and conditions as prescribed in Division 4
has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business
Exchange Act (No.3) B.E. 2546) “private fund management” means the management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
where securities are being traded for clients. Clause 8 In the case where a securities intermediary invests in shares to acquire proprietary assets in accordance with the rules prescribed in the
” means any person who is authorized by the derivatives fund manager to make an investment decision to acquire benefits from derivatives for others; “Association” means any derivatives fund management
regarding investments in securities or other assets or to acquire, by other means, returns that will become assets of the mutual fund; “Mutual fund” means any mutual fund which accepts or does not accept
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement