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
Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e
current circumstances, subject to the rules, conditions and procedures as specified in the notification of the Office. The performance evaluation and calculation of the value of assets of each fund shall
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment
objective in undertaking fund management business for short and long term. Objective should be set for the short-term plan and criteria/factor for evaluation of the accomplishment of the plan should be
directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the
Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
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