decrease or constrain a client’s risk at the time of contracting, and only when the derivatives will not cause additional risks unless it is the counterparty’s risk arising from such derivatives itself. In
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...
suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of
prior approval from the Office, which will help facilitate their business operation.
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. 30 Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems...
the derivatives exchange; (2) call for its clients to deposit additional margins when their margins drop below the rate or value of the maintenance margins prescribed by the derivatives exchange or
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
. Should the loss sustained by the Client’s position in the market cause the balance in its margin account to drop below the maintenance margin , the Client will be called by his/her derivatives agent to