, which is a securities company under the law on securities and exchange, with no responsibility to maintain its net liquid capital adequacy, such person shall have liquid assets not less than one hundred

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

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

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

should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which

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

the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is

in the information processing facilities and put in place a periodic maintenance to prevent damages; 3. The intermediary should correctly maintain equipment assets to ensure their continued

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