of the increase or decrease in the number of investment units. “Scheme” means an open-end fund management scheme. “Fund supervisor” means the fund supervisor of an open-end fund. “Office” means the
Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
office as follows: 1. The applicant wishes to: Open a full branch office Open an online branch office Convert an online branch office into a full branch office 2. Address
private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
, conditions, and procedures for the following matters for compliance by management companies : (1) the sale and redemption of investment units of mutual funds , the increase or reduction of investment units of
; (2) in calculating the net asset value and the value of investment unit, together with the selling price and the redemption price of open-end mutual funds and the number of units of provident funds
account); (2) Derivatives position limit of customer at any time; (3) Derivatives position of customer that is still open (open interest); (4) The amount and type of asset deposited as margin or for
OTC เพียงด้านเดียว (open out right position) โดยไม่มีฐานะอื่นมาหักกลบแบบเต็มจำนวนหรือบางส่วน ให้บริษัทคิดค่าความเสี่ยงของ OTC derivatives ดังกล่าวเท่ากับ 40% ของมูลค่าสินทรัพย์อ้างอิงของสัญญาดังกล่าว
the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary