have a written authorization from investors only.__________________Notes:* Pursuant to Clause 23(2) and the prohibited characteristics of personnel in the capital market business under Clause 31(1
authorization. According to the conversation recorded, {B} had sent trading orders before notifying her client or sent out selling orders against of the client's instruction. {B} admitted that she had acted as
with them. Some even gave authorization for the companies? staff to submit trading orders on their behalf.The said actions were deemed as undertaking derivatives business without license in contravention
authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on
and ethic as well as deny any clients? authorization to trade securities or derivatives on their behalves."
member jurisdiction to offer CIS constituted and authorised in that jurisdiction ("ASEAN CIS") to retail investors in other member jurisdictions under a streamlined authorization process. The signatories
- Translation - Tender Offer for Securities (Form 247-4) Of Glow Energy Public Company Limited By Global Power Synergy Public Company Limited (The Tender Offeror) The Siam Commercial Bank Public Company Limited And Phatra Securities Public Company Limited (Tender Offer Preparers) Phatra Securities Public Company Limited (Tender Offer Agent) “This English language translation of the Tender Offer has been prepared solely for the convenience of the foreign shareholders of Glow Energy Public Company...
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a derivatives position; (5) “maintenance margin” means the minimum amount of assets