: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives fund managers; and (4) derivatives advisors. Division 2 Specific Regulations on
. 2546 (2003) and the Notification of the Securities and Exchange Commission Re: Determination of Additional Determination of Types of Juristic Person Classified as Institutional Investor ; (3) derivatives
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
Commission No. KorThor. 3/2551 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investors _____________ By virtue of Clause 3 and Clause 9 of the Derivatives Act B.E.2546
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
. KorThor 6/2547 Re: Additional Determination of Type of Juristic Person Classified as Institutional Investor. By virtue of section 3 and section 9 under the Derivatives Act, B.E. 2546 (2003), the SEC hereby
client [or group of clients ] over the interest of another client [or another group of clients ] in the manner of unfair treatment, although both clients [or both groups of clients ] are classified in the
classifying information according to organization’s classification scheme and establish the operating procedures for each level of classified information; (9) define information security requirements
, although both clients [or both groups of clients ] are classified in the same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any