service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following

investors: (1) Bank of Thailand; (2) commercial bank; (3) bank established under specific law; (4) finance company; (5) credit foncier; (6) securities company; (7) non-life insurance company; (8) life

. Minority interest Total Shareholders’ equity Total Liabilities and shareholders’ equity The ………………………… securities company limited Income statement For month/year ending…………………………………. Assets (Unit:Baht

profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.

Clause 3; “ fee ” means a fee for undertaking business according to license; “ income ” means an income before deducting expenditures from undertaking business according to license; “ investment unit ”4

of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed

continuing a relationship, which should be discontinued. 7 Does the firm have any particularly risky clients or risky industry (e.g. Finance and Securities, Banking, Insurance, Energy & Utilities, Mining

ตราสารหนี้ระยะสั้น (Short-Term Fixed-Income Fund) คือ กองทุนรวมที่มีนดยบายการลงทุนในเงินฝากหรือตราสารหนี้ที่มีอายุเฉลี่ยในการถือครอง (Portfolio Duration) ในขณะใดขณะหนึ่งไม่เกิน 1 ปี กองทุนรวมประเภทนี้เหมาะ

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

: ______________________________________ 5) Type of ARFP Passport Fund: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund