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
company, the company shall maintain either collateral or liquid asset or both with adequate value as prescribed by the Office, and calculate and report of maintaining collateral and liquid asset adequacy in
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
calculating net asset value of fund or securities-clearing (back-office function) including the segregation of reporting line of the personal in the segregated units and there should be a person responsible for
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
ประกันเป็นผู้ขาย put options ซึ่งตามแนวการคำนวณโดยวิธี Standardised Approach ถือเสมือนว่าผู้ขาย put options ทำการ long the underlying asset ซึ่งในที่นี้คือหน่วยลงทุนในจำนวนที่เท่ากับ (1- option delta) คูณ