Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a
Securities and Exchange Commission. Clause 3. Applicant for an approval to be a custodian under Clause 4 must be a financial institution in any of the following categories : (1) Commercial bank under the law
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.
intends to extend the due date by rolling over or extend the period of the deposit, such asset may be classified as a long-term deposit at a financial institution or an investment (as the case may be
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 10. Other supporting documents (please specify) _________________________________________________ Please print this checklist and
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification
exclusive) payable in the form of: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 8. Other supporting documents ( please specify