Particulars of Client’s Assets Clause 12. A securities company shall provide an account of each client’s assets under custody of the securities company. Such account shall be separated from other asset accounts

the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and

reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and

on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both

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

where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a

government agency and state enterprise under the law on budgetary procedure; (8) the Financial Institutions Development Fund; (9) a juristic person having total assets of five hundred million baht or more

“Yes”, please provide the following details: The list of exchanges that foreign ETF is traded on ____________________________________________________________________

Federation of Accounting Professions or justifiable in case of any difference therefrom). The applicant shall provide details of the company for which the applicant has affixed signature in giving opinions on

.: _________________________ Part E: Custody of Assets Same as Trustee/Fund Supervisor No [if “No”, please provide further information below] 23) Name of Custodian