Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
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
. Division 2 Opening of the Derivatives Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16. In acting as derivatives broker, derivatives broker shall enter
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
giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 16 Repealed. Division 2 Opening of Derivatives Trading Account and Acting as a
agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
subclause (1), such information shall be revised and updated at the first available opportunity; (4)1 in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary