Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
UNOFFICIAL TRANSLATION 2 Office of the Securities and Exchange Commission 333/3 Viphavadi-Rangsit Road, Chomphon Subdistrict Chatuchak District, Bangkok 10900 www.sec.co.th Tel: 0-2033-9999 Fax: 0
Office by the delegation of the Bank of Thailand; “ Notification on Standard of Business Operation ” means the Capital Market Supervisory Board Notification concerning Standard Conduct of Business
assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange
Provisions related to Providing Services shall be as set out in Chapter 1; (2) Specific Provisions related to Providing Services of Inbound Products which are Debentures Denominated in Foreign Currency shall
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
(1992); “Commercial Bank” means commercial bank under the law on commercial bank business. Chapter 1 Criteria for Approval to Use Derivatives Investor Contact Service Clause 3 . Derivatives broker shall
license under this Notification; (5) “commercial bank” means any commercial bank in accordance with law on commercial banking or law on business of financial; (6) “securities company” means any securities
derivatives broker may invest or deposit a client's cash if complying with the following rules: (1) depositing with a commercial bank or other banks established under specific law or investing in certificates
: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 10. Other supporting documents (please specify) _________________________________________________ Please print this checklist and