Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
. ----------------------------- 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
or Other Assets for Management Company dated 9 September 1999; (3) Notification of the Office of the Securities and Exchange Commission No. SorNor. 33/2543 Re: Acts that may Create Conflict of Interest
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
company that provides a custodian service for assets of its clients, whether for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale
securities brokerage, securities dealing or securities underwriting of investment units without undertaking custody of clients’ assets; (2) a securities company which obtains a securities business license in
contingent liabilities which require payment by cash or other assets from the securities company upon occurrence of the specified events; (c) other contingent liabilities as stipulated by the SEC Office
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
intangible assets which the Company and the subsidiaries use for business undertaking. The Company may also disclose the appraisal price. In addition, disclose the investment policy in the subsidiaries and
, disposal or holding of securities or other assets; “management company” means mutual fund management company or private fund management company ; “mutual fund management company” means a securities company