Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
following characteristics: (1) being debt instruments registered with the Thai Bond Market Association; (2) in case of payment of return on such liquid assets, the return shall be either in the form of fixed
including the unit which responsible for custody of private fund assets, and compliance or the internal audit unit. and the organization structure of the unit responsible for custody of private fund assets
eligible assets for investment, and being transparent and published appropriately). Gold price Part B: Information on the CIS Operator 10) Name of CIS Operator
the following characteristics: (1) being a product issued or offered for sale aboard, and the issuer or the offeror has no intention to offer such product in Thailand; (2) being a product with the
following rules: (1) Such soft commissions shall be the assets with the economic value and concern with the direct role of being a fund in accordance with the law on Securities Exchange and; (2) Shall not
conditions as follows: (1) being available for producing, selling products or rendering service, rent or management; (2) being expected to be utilized for more than one accounting period. Such assets shall be
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
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day