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

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

collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase agreement; (d) other liabilities as stipulated by the Notification of the Office of

pledged securities; 3. payable for client account; 4. payable under securities repurchase agreement; (d) other liabilities as stipulated by the Notification of the SEC Office. (7) “ risk haircuts ” means

with obligations to return borrowed securities, only in the portion not exceeding the value of collateral; 2. payables under pledged securities; 3. payable for client account; 4. payable under securities