shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset
) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. “ general
undertaking; and; (c) allow its business to be conducted with fiduciary duties. (2) determine clearly and harmoniously the mission, strategy, policy and operational plan of the company and its business units
this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
the lessee without purchasing the asset, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office. (2) other off-balance sheet’s contingent
ได้จาก รายงานกองทุนที่จดทะเบียนที่ยังดำเนินงานอยู่ ที่ใน http://www.sec.or.th/th/infocenter/stat/asset/mutual/regis.xls ดูใน field เลขที่จดทะเบียน) โดยกรอกเฉพาะเลข 3 ตัวแรก นับจากซ้ายมาขวา เช่น 181/2548
billion to less than 100 billion baht 200,000 baht per year (c) from 100 billion to less than 1 trillion baht 2,000,000 baht per year (d) from 1 trillion baht onwards 3,000,000 baht per year Clause 10 A
Fund bond; (d) Other liquid asset specified by the Notification of the Office. In this regard, liquid assets as in (a) (b) (c) and (d) must be assets without encumbrance. “Office” means Office of the
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
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