client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
}'s approval as capital market personnel for two years, effective from May 8, 2014.
market investment consultant for 6 months. As {A}'s approved capital market investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest
ทํา customer ‘s profile เชน ฐานะทางการเงิน ความสามารถในการปฏิบัติตามขอ ผูกพันของการมีฐานะสัญญาซ้ือขายลวงหนา ระดับความรูความเขาใจ ประสบการณในการลงทุน นโยบายและวตัถุประสงคการลงทุน ขอจาํกัดการ
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
receive payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the buyer’s loss equals the amount of premium. A seller
intermediary ’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any
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