ให้บริการ (execution, delivery and product management) หมายเหตุ : 1 ให้บริษัทจัดทำและจัดเก็บข้อมูลไว้ที่ทำการเป็นประจำทุกปีภายในวันที่ 31 มกราคมของปีถัดไป 2 มูลค่าความเสียหายที่เกิดขึ้นให้หมายความรวมถึง
the following matters: (1) Receipt or delivery of client’s assets; (2) Record of the particulars of client’s assets; (3) Management of client’s assets information. Clause 7. For the custody of client’s
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
Section 9 and Section 49 of the Derivatives Act B.E. 2546 (2003) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 The following Notifications shall be repealed: (1
Supervisory Board hereby issues the following regulations: Clause 1 The Notification of the Capital Market Supervisory Board No. TorThor. 49/2552 Re: Short Selling of Securities relating to Exchange Traded
Derivatives Act B.E. 2546 (2003) , the Securities and Exchange Commission hereby issues the following regulations: Clause 1 In this Notification: “ securities ” means the securities by definition given under
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
the trading account or trading the futures and/or options on behalf of the Client as follows: 1. Futures 1.1 Nature of Futures Futures is a contract in which parties are bound to perform their
(UNOFFICIAL TRANSLATION) (Updated as of 2015) Form 61-1 1. Application for Approval of Capital Market Auditor Date: ............. Month: ......... Year: .......... Dear Secretary-General, Office of
matters as follows: (1) a system for repayment of obligations under derivatives shall specify the point of time for the repayment and the delivery of the underlying goods under the derivatives (if any