anti-money laundering authority as high risk business/ profession; (7) a client who is categorized as higher-risk categories by the anti-money laundering authorities or the Securities Industry

and coins holding by the company, including miscellaneous cash, money orders, postal bills, due cheques still have not yet been deposited, travelers’ cheque s and bank drafts 2) bank deposits in current

) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account

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

: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 10. Other supporting documents (please specify) _________________________________________________ Please print this checklist and

Section 102 Securities and Exchange Act B.E. 2535 Section 102. The lending of money for the purchase, sale or exchange of securities by a securities company shall be in accordance with the rules

amount of money for each day shall not be less than the total amount of net balance calculated at the end of prior working day or at the end of present working day from cash account and margin account of

derivatives positions; (4) cash, securities, or any other assets which a derivatives broker receives from a client for payment upon receiving delivery, or which a derivatives broker receives on behalf of a

which the mutual fund is entitled to receive from other persons; (2) disposing of the mutual fund’s assets and converting into cash, bank deposits, or promissory notes issued by commercial banks or

and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units