; (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

(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

Section 19 Securities and Exchange Act B.E. 2535 Section 19. The Office has the power and duty to perform any act necessary for the implementation of the SEC’s resolutions and to perform any other

securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under

guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification

Confirmation of Clients _______________________ Clause 25 After a client has made a decision for investment or entering into a transaction, an intermediary shall report or inform the result of the performance to

necessary to determine the implementation or to make clarification, the intermediary shall operate its business, or implement or clarify such requirement according to the principles of the Notification of

monitoring the implementation of the exercise of voting rights; (4) Disclose the guidelines referred in (1) and the exercise of voting rights referred in (2) to investors by using appropriate methods and in

, 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