funds and provident funds, the management company shall use the closing price of such equity instruments as of the first trading day after the Stock Exchange of Thailand’s suspension order has been lifted

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules

assets 9. Property, plant and equipment 10. Intangible assets 11. Other assets Total assets Liabilities and shareholders’ equity (Unit:Baht) Consolidated The Company only ( 20..) ( 20..) (20..) (20

) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. “ general

who is a foreign juristic person under Clause 4(3) shall possess the qualifications as follows: (1) having shareholders’ equity not less than fifty million dollars or at equivalent; (2) being a

Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by

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

to be open on different hours or close on different days. Therefore, in order to clarify rules on granting permission to a management company to establish a branch office together with serving

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply