CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification
วางแผนการลงทุน (Asset Allocation) ตราสารหนี้ กองทุน ตราสารทุน สัญญาซื้อขายล่วงหน้า ตราสารหนี้1 กองทุน2 ตราสารทุน สัญญาซื้อขายล่วงหน้า 1. นักวิเคราะห์การลงทุนปัจจัยพื้นฐานด้านตลาดทุน ( ( ( ( ( ( ( ( ( 2
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
with the following criteria: (a) the fee rate shall be 0.001 percent of the net asset value under management in each calendar year, calculated from the average of the total net asset value under
list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF . “ exchanging in-kind ” means entering into the following transactions with a management
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at