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

Custody of Assets of Clients by Licensed Derivatives Brokers

Custody of Clients’ Assets by Securities Companies (Codified)

item - Immovable property rental fees Baht 5 million 3. Transaction relating assets or services Revenue item - Business consultancy fees - Warehouse management fees - Movable property rental fees

same proportion in the investment value of secure loan and unsecure loan. The Company selection to purchase non-performing loans mainly considered the return on investment to create profits to

client’s assets; □ (3.6) System to prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a

prevent conflict of interest and protect client’s confidential information; □ (3.7) System for selection of a custodian agent to ensure that the custodian agent has a system ready for keeping assets into

other assets instead of cash (pay in kind);  2. Fund governance: e.g., revising the composition, qualifications, roles and responsibilities of the fund committee, enabling employers to automatically

Bangkok, July 29, 2011 ? The SEC has announced selection process for new Secretary-General. Candidates must have qualifications and shall not possess any of the prohibited characteristics. The SEC

September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets