commercial banks or financial institutions, law relating to securities and exchange or any law prescribed by ministerial regulation shall not consider or compute the trust property as the property held in the

institution which is governed by a main regulator and later obtains a license to undertake securities business, but not including a financial institution licensed to undertake securities borrowing and lending

calculate the limits for each investment policy instead of for each fund, except for the investment limits set out in Clause 54.” Clause 4. In calculating limits for additional investment in assets by

). Cash flows statement The items in the cash flow statement of the company shall be use the prescribed definition, as follow: Cash flow from operating activities means money arising from the main

least one Satang or greater, and represents at least 0.5 percent of the correct unit value, the management company shall retrospectively calculate the unit value from the date the unit value is found

the electronic data interchange provided by the SEC Office for filing reports of securities company to the SEC Office. Clause 3. A securities company shall calculate net liquid capital in Form Bor.Lor

number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock

persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone

SEC governing the maintenance of derivatives fund manager’s financial condition. Clause 10. The derivatives fund manager shall: (1) Calculate the value of derivatives contracts in accordance with the

Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time