contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the

written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the notification of the SEC Office. A

Commission Remark: The rationale for issuing this Notification is that the Securities and Exchange Act (No. 4) B.E. 2551 (1992) specifies that the issuance of regulations governing provision of services as

Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms

and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically define the terms “institutional

the Office of the Securities and Exchange Commission specifies the rules related to securities issuance, offer for sale of securities or undertaking of securities business, but does not specifically

Exchange of Thailand Re: Disclosure of Information and Other Acts of Listed Companies concerning the Connected Transaction, B.E. 2546 (2003) (as amended) specifies the duties of the company to prepare and

mutual funds: (1) Mutual funds whose investment policy specifies investment in derivatives with the objective of hedging and the underlying asset or the variable of the 8 derivative is not one and the same

Liabilities for Resulting Loss When the Client establishes certain positions on derivatives, i.e. long futures, short futures and short options, he/she is obliged to perform its obligations under the contract

, unless the scheme specifies to comply with the Dispute Resolution and Enforcement Mechanism (“DREM”); (7) specifying to disclose material information at least being the same as the information disclosed to