balance, and shall confirm the transfer of money or assets in and out of the fund. There shall be system to issue and send the reports on asset flow of the fund to the clients regularly and in appropriate

. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and

reference. 2 Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and

calculate the limits for each investment policy instead of for each fund, except for the investment limits set out in Clause 54.” Clause 4. In calculating limits for additional investment in assets by

of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to

September 2013; “ software program ” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “ IT assets

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the unit responsible for custody of private fund assets

Office may extend the period of time specified in the first paragraph. Clause 5. The liquidator shall have powers and duties as follows: (1) collecting and receiving assets of the mutual fund or assets

capital ” means liquid capital deducted by risk haircuts ; (3) “ liquid capital ” means liquid assets deducted by total liabilities ; (4) “ liquid assets ” means the total sum of the following assets: (a