of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
custody of customers’ assets. (b) Undertaking derivatives business in the category of derivatives fund manager providing services for general investors. (4) ten million baht for undertaking derivatives
directors of subsidiaries Attachment 3: Details of the Heads of the Internal Audit and Compliance Units Attachment 4: Assets for business undertaking and details of asset appraisal Attachment 5: Unabridged
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
status and operating performance, securities business report, report of clients’ assets with the SEC Office using the forms annexed to this Notification within the schedules as follows: (1) the business
included. 4. Assets used in business undertaking 4.1 Describe the significant characteristics of the permanent core assets which the Company and the subsidiaries use for business undertaking with or without
repurchase agreement Temporary investments Receivables from Clearing House Securities business receivables and Derivatives business receivables Other derivatives assets Other assets Operating Liabilities
business which undertakes custody of clients’ assets in relation to securities borrowing and lending business; (3) money paid for subscription of securities which a securities company receives from
and December. Clause 9 The value of liquid assets or insurance used for the maintenance of capital shall be calculated by the intermediary on the last business day of each quarter, unless in case of any
or the fund manager’s office to examine the business, assets and liabilities of the fund during usual working hours: (2) to order the fund committee members, the fund manager or the fund’s officers who