?s assets in custody, no proprietary trading, and no responsibility in clearing and settlement of securities. In addition, the lower rate of annual license fee will be offered for companies selling at
has concern over the impact of flooding on them. At present, providing of services by businesses in the capital market, including clearing and settlement systems remains functioned normally. The SEC
broker received from a client for clearing and settlement purpose, or which a derivatives broker received for or on behalf of a client for clearing and settlement of a client’s derivatives transaction; (e
a client for clearing and settlement purpose, or which a derivatives broker received for or on behalf of a client for clearing and settlement of a client’s derivatives transaction; (e) proceeds remain
derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives broker received from a client for clearing
hundred million baht: (1) keeping clients’ assets in its possession; (2) investing in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and
in or holding securities for investment by the securities company itself; (3) bearing a responsibility for clearing and settlement for securities. Clause 5. The securities company licensed to undertake
make it impossible to match such orders. 3.6 Risk from Position Restriction or Prohibition The Derivatives Exchange, the Clearing House or the Office of Securities and Exchange Commission may order