arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
. ----------------------------- 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
3 years during a 5-year period prior to application submission, please specify details of the company where the applicant has performed duty as an audit supervisor or a person who reviews audit
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
which has the duty to maintain the capital under the Notification concerning Maintenance of Capital . “ Notification concerning Maintenance of Capital ” means the Notification of the Securities and
’ assets on a monthly basis and file it with the SEC Office within the seventh day of the following month. In this regard, business operators which have the duty to prepare and file the reports in Paragraph
, which have duty to prepare and file with the Office such reports on the financial status and business operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the
may delegate the duty of disposal of the mutual fund’s assets according to (2) of the first paragraph to the management company. Where there is necessary and reasonable ground that the disposal cannot
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
August 2004 ; Clause 2 In this Notification: (1) “ net capital ” means liquid capital deducted by risk haircuts ; (2) “ liquid capital ” means liquid assets deducted by total liabilities ; (3) “ liquid