..) Liabilities 12. Borrowings 13. Securities sold under repurchase agreements 14. Payable to Clearing House 15. Securities business payable and derivatives business payables 16. Debentures and debt instruments 17
provisions regarding the employees’ savings and the employer’s contribution payable to the fund; (7) the provisions regarding the rules and procedures for the computation of benefits entitled to the employees
execution or preservation of confidentiality (2) A management company should carry out transactions bearing in mind it is a representative of the client whereby making investment or issuance of trading order
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
as specified in the Securities and Exchange Act B.E.2535 (1992) , the Trust for Transactions in Capital Market Act B.E. 2550 (2007), and the Notification of the SEC Office regarding Approval of
the borrowed securities, only in the portion not exceeding the value of the collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase
pledged securities; 3. payable for client account; 4. payable under securities repurchase agreement; (d) other liabilities as stipulated by the Notification of the SEC Office. (7) “ risk haircuts ” means
prevention and management of conflicts of interest to be in the same manner with respect to the following matters: (1) Excessive Transactions for Clients shall be in accordance with Chapter 1; (2) Additional
exchange, as the case may be. “ clearing house ” means a clearing house for transactions related to derivatives, or a clearing house for transactions related to securities, as the case may be. “ person with