assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to protect the client ’s assets and comply with the specific Notifications stipulating

the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives

the client ’s asset which is under the following rules: (a) in case the client ’s assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to

Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange

shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position

for Establishment and Management of Property Funds for Solving Financial Institution Problems ; (2) Notification of the Capital Market Supervisory Board regarding Rules, Conditions and Procedures for

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

licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying

represent entitlement in assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives

client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and