Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
position risk ให้บริษัทเลือกวิธีการคำนวณวิธีใดวิธีหนึ่งสำหรับเงินลงทุนทั้งหมดของบริษัท ตามสถานะเงินลงทุนที่บริษัทมีอยู่จริง ดังนี้ แบบที่ 1 : วิธี Fixed-haircut approach สำหรับบริษัทที่ไม่มีสถานะในธุรกรรม
. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht
financial institution established under a specific law and treated as a financial institution under the Law on Loan Interest of Financial Institutions ; (3) Islamic Bank of Thailand; “ obligor ” means a
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the
of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the