Commission Notification of the Securities and Exchange Commission No. SorThor. 23/2549 Re: Calculation and Report of Net Liquid Capital Calculation _____________ By virtue of Section 109 of the Securities and
------------------------------ The Securities and Exchange Commission Notification of the Securities and Exchange Commission No. SorThor. 24/2550 Re: Calculation and Report of Net Liquid Capital Calculation (No. 2) _____________ By
transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the
companies, such as submission of securities trading order, clearing and settlement and delivery of securities and assets, sale and redemption of investment units, and NAV calculation. 3.2 Risk Assessment
under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the
service, the expenses or income arising from the investment advisory service and the derivatives advisory service shall be included in the calculation for the maintenance of capital under Paragraph 1(2) or
the over-the-counter center is incorrect. If the cause of error resulting in the incorrect unit value under paragraph one hereof consequently affects the following calculation of the unit value, e.g
their characteristics (for example, monthly salary, bonus and contribution to the provident fund, etc.) as well as the human resource development policy. 11. Corporate governance Describe the operation or