approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives
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
. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock
month, etc., or derivatives symbol assigned by a derivatives exchange ; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6) fees
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
ทั้งหมด 5. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) (2) การดำรงหลักประกันของบัญชีมาร์จิ้น และบัญชีสัญญาซื้อขายล่วงหน้า ประจำเดือน ระดับ Margin จำนวน ราย จำนวนเงินที่ต้องเรียกเพิ่มหรือบังคับชำระหนี้ จำนวนเงิน
analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker