the seventh day of the following month. Clause 16. A securities company shall keep the information and documents related to the custody of client’s assets at least two years for the Office’s

of such client, the securities company shall record the name of the third party who is the owner of the assets in the client’s asset account as well. Clause 13 A securities company shall keep accurate

selection of a custodian agent to ensure that the custodian agent has system ready to keep assets into its custody; □ (3.8)** System to coordinate with the custodian agent to ensure that the applicant can

notification can keep the client’s assets into its custody. Such custody of assets must be only for institutional investors or non-provident fund clients with the securities and assets of more than one million

reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and

invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to

Office may extend the period of time specified in the first paragraph. Clause 5. The liquidator shall have powers and duties as follows: (1) collecting and receiving assets of the mutual fund or assets

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the

) The name of the customer or the customer’s derivatives account number; (2) The transaction date; (3) The contract specifications including contract type, type of underlying assets or variables