purchased to order; (f) receivables of margin loan and receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the SEC Office. (4

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

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

units of the mutual fund with the ninety-day redemption period limit and the policy to invest no less than eighty percent of its net asset value in any of the followings: (a) investing in any one or

Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background

force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset allocation shall come into force as from 1 April 2016

directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged

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

mutual fund management’s performance shall come into force as from 1 January 2015; (2) the second paragraph of Clause 34 relating to fundamental recommendation regarding the importance of basic asset

not entitled upon the employees whose memberships have been terminated, and are determined by the fund’s articles to be an asset of the fund; (c) damages or interest paid by the fund as a result of