securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply
of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
amount” derivatives “obligation” credit derivatives (obligation category & obligation characteristics) “options” (3) “ ” 3 . . 2546 “OTC derivatives” derivatives derivatives “P/N” (Promissory Note
’ name MAJOR CINEPLEX GROUP PUBLIC COMPANY LIMITED Securities Code: MAJOR 2. Date of action resulting in reporting obligation 25/09/2019 Foreign Securities company MACQUARIE BANK LIMITED ( ) Direct
’ name CAZ (THAILAND) PUBLIC COMPANY LIMITED Securities Code: CAZ 2. Date of action resulting in reporting obligation 11/12/2019 Thai Securities company KTB SECURITIES (THAILAND) PUBLIC COMPANY LIMITED
’ name GLOBAL CONSUMER PUBLIC COMPANY LIMITED Securities Code: GLOCON 2. Date of action resulting in reporting obligation 11/12/2019 ( ) Direct sale/purchase ( ) Other (please specify) Trade
’ name MAJOR CINEPLEX GROUP PUBLIC COMPANY LIMITED Securities Code: MAJOR 2. Date of action resulting in reporting obligation 30/01/2020 Foreign Securities company MORGAN STANLEY N CO. INTERNATIONAL
’ name HUMANICA PUBLIC COMPANY LIMITED Securities Code: HUMAN 2. Date of action resulting in reporting obligation 13/02/2020 Foreign Securities company Liquidnet CSFB ( ) Direct sale/purchase