Fund bond; (d) Other liquid asset specified by the Notification of the Office. In this regard, liquid assets as in (a) (b) (c) and (d) must be assets without encumbrance. “Office” means Office of the

in the mutual fund management scheme and prospectus, or private fund management agreement, as the case may be, shall be included: (a) type of assets to invest; (b) return of each type of assets; (c

following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract

controlling the inflow and outflow of mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the

taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

: Custody of Clients’ Assets by Securities Companies dated 16 May 2008 shall be repealed. Clause 3 In this Notification: (1) “ asset ” means: (a) cash; (b) securities; (c) other assets ; (d) any benefits

shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset

securities company as its agent to custody client’s assets must be: (a) commercial banks; (b) financial companies; (c) securities companies; (d) a central securities depository; (e) Other financial

Commission Notification of the Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33

hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in