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
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
UNOFFICIAL TRANSLATION (SEC logo and contact information) 8 August 2014 To Managers Securities companies Asset management companies Derivatives intermediaries No. Kor Lor Tor. Kor Thor. (Wor) 23/2557
: Custody of Clients’ Assets by Securities Companies dated 16 May 2008 shall be repealed. Clause 3 In this Notification: (1) “ asset ” means: (a) cash; (b) securities; (c) other assets ; (d) any benefits
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
underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter
: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter within the next business day from
there from, an agreement made between the derivatives business operator and the customer shall determine the allocation of such proceeds. SECTION 35. In cases where the customer asset is securities, the
Section 143 of the Securities and Exchange Act, B.E. 2535 (1992) to give an order otherwise, the investment advisory company under Clause 3 which is unable to maintain adequate collateral and liquid asset
, settlement and delivery of securities and assets, recording asset account of customers and funds, sale and redemption of investment units, NAV calculation or investment management. 8.2.4 Readiness of computer