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

the responsible person of such scheme. “ credit rating ” means the credit rating by a credit rating agency accepted by the SEC Office which estimates the capability to make repayment under instruments

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

capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase

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

management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related

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

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