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
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
public and stakeholders in supervising and developing a sustainable capital market. The SEC administers the Securities and Exchange Act B.E. 2535 (1992), the Derivatives Act B.E. 2546 (2003), Trust for
received from the sale of units to the trustee in order to manage the property for the benefit of the unitholders with trustworthiness; (b) the REIT is not a juristic person, but is a pool of assets legally
relevant Authority to manage Covered Funds and that meets the applicable conditions set out in Appendix B to this MoU. (f) “Cross-border On-site Visit” means any visit by one Authority to the premises of a
and manage risks in case of changes to the processes and procedures and controls associated with information security, or changes of the outsourcee; (4) establish measures for supervising the outsourcee
Increasing Market Confidence Group 2: Measures for supervising inappropriate trading behaviors Measures Details Timeline 2.1 Disclose information on investors with inappropriate trading behaviors • To disclose
, whether there is any relationship concerning shareholding or having business associated with REIT manager; (b) in the case where property manager also manage other real estate which may cause conflict of
supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securities and Exchange Commission. “financial institution” means a financial institution under the Interest on