which this Notification comes into force. (2) In case of holding derivatives position, the derivatives broker may continue the holding for the remaining period and shall not extend or renew such contract

December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of

liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the

. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date

benefit of the clients , in which case the clearing and settlement of the assets shall be made to the said person. (3) returning the remaining client’s assets to the client or transferring them to another

client upon making delivery according to such client’s derivatives positions; (5) remaining cash from a sale of a client’s securities held under the name of a derivatives broker due to the client’s default

Notification shall not apply to the mutual fund which the notification of the Capital Market Supervisory Board has specifically prescribed rules, conditions and procedures for liquidation of such mutual fund

Capital Clause 4 The liquid assets which may be used for maintenance of the capital are the following assets which are free of encumbrance and are not short-term investments with the intention of resale or

according to rules prescribed herein, whichever amount is higher. Clause 17 Any licensee who has not paid the total fee or the remaining fee based on business volume under the Notification of the Securities

the association related to securities business are in accordance with Section 234 of the Securities and Exchange Act B.E. 2535 (1992) , and are not in contravention of the law nor impose a threat to the