company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation, or have been stipulated such requirement but it is
Supervisory Board including any regulations or guidelines issued by virtue of this Notification or other Notifications thereof, have not been stipulated as a requirement for any particular business operation
+ หลักประกัน) - (margin + SMV) 6. margin requirement ผลรวมของ (มูลค่าหลักประกันหรือหลักทรัพย์ที่ลูกค้ายืม แต่ละรายการ x อัตรามาร์จิ้นเริ่มต้นของหลักประกันหรือ หลักทรัพย์ที่ลูกค้ายืมรายการนั้น) ในกรณีที่
which is in the same financial conglomerate, and provided that such supervisor is not a securities company or a derivatives broker which has been granted an exemption from the requirement of independent
Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
for transactions, requirement to obtain approval from or report to senior management, face-to-face contact with the client or his ultimate beneficial owners or ultimate controlling persons, assessment
shall be specified with details on the identification and number of customers/suppliers, the nature of relationship and the types of products for sale and purchase. In any case, if the Company has already
. For such purposes, the rules governing the requirement of margins for derivatives trading in derivatives exchange have been prescribed. Furthermore, the Derivatives Act (No.2) B.E. 2551 (2008