each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to

liabilities ” means total liabilities deducted by qualified liabilities . “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (a

new fund scheme and the former mutual funds are dissolved; (6) “new mutual fund” means a new mutual fund established by means of mutual fund merger; (7) “former mutual funds” mean the mutual funds which

capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase

Companies dated 18 May 1992 shall mean the reference to this Notification. Clause 4 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009. (Mr. Vijit Supinit

such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording

the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator

undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4

director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of

with Customer Complaints dated 1 February 2002 shall mean a reference to this Notification. Clause 7 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009