in the nature of managing investment fund for the client, safekeep the client’s assets with a person approved by the SEC Office; (7) arrange a supervision to ensure that the provision of services by an
securities borrowing and lending business.” Clause 2 The provision of Clause 16 of the Notification of the Securities and Exchange Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities
Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18
Experiment and Develop Innovation In Support of Service Provision Related to Capital Market _____________________ By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 (1992), as amended by the
provision relating to the restriction of rights and liberties of the person, while Section 29 along with Section 35, Section 36, Section 45, Section 48 and Section 50 of the Constitution of the Kingdom of
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
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
assets to another business or changing the financial instrument with the financial instrument of other business subjected to condition causing a loss to the business. 18. Provision means uncertain
Exchange Commission No. Kor Thor. 21/2563 Re: Determination of Types of Operation of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision