. ----------------------------- 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
Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
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
or contracts. “ insurance ” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of
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
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
person obtaining the commercial banking business license under the law on financial institutions. “ net capital ” means the liquid capital deducted by risk haircuts . “ liquid capital ” means liquid assets
capital ” means liquid assets deducted by total liabilities ; “ liquid asset ” mean the total sum of the following assets: (1) cash and bank deposit; (2) securities purchased under reverse repurchase
………………………………………………………. 1.2 Location of the office established by the applicant …………..………… telephone number ……………… facsimile number…………………… 1.3 Paid-up capital…………………. Baht 1.4 Total assets………………….Baht. Total liabilities
Vinaiphaet) Acting Secretary-General Office of the Securities and Exchange Commission. The ………………………… securities company limited Balance sheet As of (date) ………………………………….20.. and 20.. Assets (Unit:Baht