good internal control system for the custody of client’s assets. Such system must at https://publish.sec.or.th/nrs/2831pe.doc Translation calculating net asset value of fund or securities-clearing (back

Custody of Assets of Clients by Securities Companies

Custody of Assets of Clients by Licensed Derivatives Brokers

Custody of Assets of Clients by Securities Companies (No. 3)

Custody of Clients’ Assets by Securities Companies (No. 4)

Custody of Assets of Clients by Licensed Derivatives Brokers

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or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of

contracts. “insurance” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of Capital Clause 4

; although the customer had never invested in a mutual fund before and could not afford to lose the principal, {A} allocated almost half of the customer's total assets in a mutual fund of a higher risk level