should assign senior management as the accountable person in complying with Clause 6(2). Provisions in the Notification No. Sor Thor. 37/2559 Clause 6 An intermediary shall have in place information
authorize an agent or any other person to perform a specified act. SECTION 24/1.4 To protect the public interest or investors, the SEC Office or the person designated in writing by the SEC Office shall have
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
disposition of assets of each private fund; (e) System for monitoring and tracking benefits arisen from private fund asset; (f) System to prevent conflict of interest and protect confidential information of
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
issues which many arise from the enforcement of this Act. SECTION 10. In cases where it is necessary to maintain economic stability or protect the public interest or investors, the SEC shall have the power
whose approval to undertake trust business revoked by the SEC, the former trustee shall perform its duties only to protect the benefits or exercise the right over the trust property to prevent the trust
. In this regard, if such insistence taking place off the working hours of the intermediary , it shall be deemed that the intermediary has received the insistence on such transaction on the following
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the