Section 110 Securities and Exchange Act B.E. 2535 Section 110. A securities company shall open its office for business during business hours and close its office on the days specified by the Office
ล่วงหน้า ไม่ดำเนินการล้างฐานะสัญญาซื้อขายล่วงหน้า (close out position / force close) ในวันที่ 19 ธันวาคม 2549 จนทำให้ลูกค้าบางรายได้รับความเสียหายและอาจนำไปสู่ข้อร้องเรียนได้ นั้น สำนักงานขอเรียนว่า
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
. If the investor is unable to do so, the derivatives broker will close out the derivatives position of the investor. However the investor will still be responsible for any loss that may arise from such
derivatives trading which may reduce the risk of the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on
. Furthermore, section 110 of the same Act prescribes that securities companies shall open up within the hours, and close on the days, as prescribed by the Office, except where the Office grants permission for it
shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing
analysis in securities through mass media shall seek an approval from the securities company in advance. In this regard, the securities company shall set out the rules which requires a written authorization
derivatives position is held in order to secure the performance of derivatives contract; (5) “ market closing time ” means the closing time of the afternoon trading session of derivatives exchange. Clause 2 A
) segregate access control roles, e.g., access request, access authorization, and access administration; (3) at a minimum, identify the networks and network services which are allowed to be accessed and