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
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
collateral pledged by the client for its exposure to derivatives according to rate or value stipulated by the SEC Office. Clause 3 Maintenance of the financial condition of the derivatives broker shall be in
securities company ; “ collateral ” means the total sum of the collateral pledged by the client for its exposure to derivatives according to the rate or value stipulated by the Notification of the SEC Office
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign
its personnel committed in the name of the intermediary ; (2) the insurance shall be used only for the maintenance of capital under Paragraph 1(3) of Clause 4 of the Notification concerning Maintenance
against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having