; (3) “Commercial bank” means any commercial bank under the law on commercial banking and any juristic person established under foreign laws which is permitted by such laws to undertake commercial
” means any securities clearing house under the Securities and Exchange Act. “institutional investor” means any investor which is a financial institution under the Commercial Banking Act, securities company
person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
guidelines for investor contacts; (c) Relevant laws such as anti-money laundering law, law governing commercial banking, etc. The Office will not determine attendance hours of the activities under 2.1 and 2.2
within the GBA via banking system. 2 A Thai feeder fund investing in a Hong Kong MRF-eligible master fund is deemed to have substantially complied with Clause 2.1.4.1 – 2.1.4.3 in Division 2 of Appendix 3
foncier businesses, the commercial banking laws, the life insurance laws or any laws relating to financial businesses of similar natures, regardless of such laws being Thai or foreign, by any competent
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the