the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168
Exchange Commission (“SEC”), has already registered its dissolution with the Business Development Department, the Ministry of Commerce, on August 31, 2016 and the end of liquidation process on June 27, 2017
manager is terminated, such position is required to be registered with the Company and Partnership Registrar of the Ministry of Commerce. The securities company shall submit a copy of such registration
are expected to be held during June – September 2018 and the registration of a new company with the Ministry of Commerce is expected to take place during September 2018. บริษทั นามยง เทอร์มนัิล จ ากดั
issuance of warrants and underlying shares; (5) a copy of a shareholders’ resolution approving the issuance of underlying shares; (6) a copy of the company’s certificate issued by the Ministry of Commerce no
which is graced by the presences of Mr. Jurin Laksanawisit, the Deputy Prime Minister of Thailand and the Minister of Commerce, who inaugurated the event, and Mr. Kobsak Pootrakool, Deputy Secretary
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there
derivatives transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk
prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including