the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
business day in the amount not less than fifteen million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the
million Baht and not less than seven percent of the general liabilities except in case of (2) or (3) (2) securities company which also operates as the derivatives broker shall maintain the net capital at
) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find breaches of the laws, code of ethics and professional
); (c) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find breaches of the laws, code of ethics and
units to perform their duties under (a); (c) prescribe procedures and methods for reporting to the board of directors or the audit committee in case where compliance officer and compliance unit find
A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin