for other matter, while having an obligation to resale such financial asset in the future in an amount equivalent to the cash or such other matter given plus interest or other similar matter in return

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

content cover the following matter [M] · Security of the Information Technology of a Securities Company. · Segregation of Duties. · Physical Security. · Information and Network Security. · Change Management

policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the

cost by 10 percent within this year, etc. 1.2 Material changes and developments Give a brief account on the material changes and developments regarding changes in control and the nature of business

Securities Account dated 1 October 1997; (2) Notification of the Securities and Exchange Commission No. KorThor. 48/2540 Re: Separation of Client’s Financial Account dated 31 December 1997; (3) Notification of

Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock

of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a

สมาชิกสำนักหักบัญชีตกลงให้ TSD โอน-รับโอนหลักทรัพย์ผ่านบัญชีด้วยวิธีการโอนทางบัญชี (Book Entry) จากสมาชิกรายหนึ่งไปยังสมาชิกอีกรายหนึ่ง ซึ่งจะโอนหลักทรัพย์ตามรายงานข้อมูลการชำระราคาและส่งมอบหลักทรัพย์ของ

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for