(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
a member of the Thai Bond Market Association. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of
. The provision under Paragraph 1 shall not be applicable in the case where a securities company ceases to undertake securities business in the category of dealing of debt securities or ceases to execute
home country where its official agency or regulator is a member of International Organization of Securities Commissions (IOSCO), whose regulation on certain derivatives business is not inferior to those
operator in the category of derivatives dealer in its home country continuously for at least ten years; (3) undertaking derivatives business in the category of derivatives dealer in its home country where
Office of the Securities and Exchange Commission. Clause 2. In the case where an applicant for an approval to be a custodian desires to appoint any person as its custodian agent, such applicant shall
Report Form (Form Bor.Lor. 2) as at the end of the latest month. In cases where the company is in the process of preparing Form Bor.Lor. 2, the company shall be allowed to use the figure of 3 Added by the