the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent
broker shall inform the client of such position and obtain a written consent from such client; (6) in the case of giving advice on derivatives, the derivatives broker shall give advice which is suitable to
written consent from clients for the appointment of members as derivatives trading agent whereby the clients agree to [i] inform and provide members with information that allows unique identification of the
% and gain on sales of written-off accounts receivable of 179 million baht. For performances of company’s subsidiaries in Thailand, the Company had commission income of 492 million baht, increasing by 4
case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant to sign
of written-off receivables was recorded at 105 million baht, collection service income was recorded at 111 million baht, and others amounted to 142 million baht accordingly. In the second quarter of
broker under Paragraph 1(2) ceases to operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain
operate the derivatives business as the derivatives broker and has given a written notice of such intention to the SEC Office, such securities company shall maintain the net capital at the end of any