collective investment scheme to a client on condition that the units are in the announced list on the SEC Office’s website which were verified by the SEC Office under the Notification of the Office of the
ใช้ในการรับคำสั่งและติดต่อกับลูกค้า รวมทั้งโทรศัพท์มือถือ หมายถึง ลูกค้าที่มีการส่งคำสั่งซื้อขายผ่านเจ้าหน้าที่การตลาดรายนั้นๆ (active client) ในช่วง 6 เดือนที่ผ่านมา
)…….……....................client/authorized person (..............................………) For and on behalf of the ...............................................Company (In case of juristic person)
capacity of my derivatives broker. (signed)…….……....................client/authorized person (..............................………) For and on behalf of the
.......................................... company, in the capacity of my derivatives broker. (signed)…….……....................client/authorized person (..............................………) For and on behalf of the
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or other similar supporting services
the borrowed securities, only in the portion not exceeding the value of the collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase
securities, only in the portion not exceeding the value of the collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase agreement; (d) other