; (4) a photocopy of the minutes of the meeting of the existing trade association showing the meeting’s resolution regarding its intention to become an association related to securities business; (5) a

Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office

units of open-end fund under management of such mutual fund management company, provided that, just in the case which the company cannot redeem investment units of such open-end fund appropriately due to

Depreciation and writing off bad debt and doubtful accounts Income tax to be written off (Gain) Loss from regulation of securities (Gain) Loss from assets distribution (Gain) Loss from foreign currencies

the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the

requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

from service provider; (2) Documents and evidence showing that the service provider has sufficient qualifications as specified in Clause 3; The Office of the Securities and Exchange Commission shall

ตรงกัน สำนักงานจึงขอซักซ้อมความเข้าใจในเรื่องต่าง ๆ ดังนี้ (1) การกำหนดเวลาในการรับคำสั่งซื้อขายหน่วยลงทุน (“cut off time”) บริษัทหลักทรัพย์จัดการกองทุน (“บลจ.”) และบริษัทนายหน้าซื้อขาย หน่วยลงทุน