licensee shall maintain the shareholding proportion in the manner required under Clause 2 at all time during which it has been granted the license for gold derivatives brokerage business. If the licensee

brokerage business; (3) The licensee shall maintain the shareholding proportion in the manner required under Clause 2 at all time during which it has been granted the license for gold derivatives brokerage

accounts in undisclosed manner (omnibus account); (2) Derivatives position limit of customer at any time; (Translation) Page 3 of 3 (3) Derivatives position of customer that is still open (open interest); (4

; (2) operating in a manner that does not cause any obstacle to compliance with the governing laws or related regulations of the authority or affect the supervisory efficiency of the intermediary or the

risks relating to the receipt of cross-border collateral to ascertain that such collateral may be enforced in an appropriate and timely manner. Clause 10 This Notification shall come into force from 1

collateral may be enforced in an appropriate and timely manner. Clause 10 This Notification shall come into force from 1 July 2017. Notified this 3rd day of August 2016. (Mr. Rapee Sucharitakul) Secretary

company trade assets or enter into a contract for any fund which is not special mutual fund, having the counterparty who is an affiliated person and such transaction is in the manner of unfair treatment to

: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus

. Pakorn Peetathawatchat, SET President revealed: “The SET did not stand by, but took every step to make sure that investors obtain accurate and adequate information in a timely manner, e.g., following up

another client’s account. In this regard, the SEC has emphasized that the bank should expedite the improvement of the operating system in order to mitigate any risk in this manner for its clients