of the insurance company; (b) letter of guarantee of a commercial bank, finance company, or financial institution established under a specific law; (c) other collateral prescribed by the Office
company not shown in financial statement, which are: 1. contingent liabilities arising from guarantee, [or] certifying or aval on bill of exchange; 2. contingent liability which the securities company shall
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other
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
securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors who invest in
fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a
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
law on commercial bank business(CB); □ A finance company under the law on undertaking of finance business, securities business and credit foncier business(FC,FSC); □ A securities company under the law
encumbrance of others to the borrower, and the borrower has to pledge asset as collateral to the lender in order to guarantee the borrower’s performance of obligation. Additionally, the lender has to return the
Loans and Guarantee: Have the principal, staff or immediate family members made or accepted loans/guarantees to/from an audit client or its affiliates? (This includes through any connected entities) Has