Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By

for Permission and Granting Permission to Management Companies to Establish a Branch Office, dated 22 May 2007, the Office shall take into account the following matters: (1) shareholders’ equity of the

unitholders’ equity; (2) a detail of the proceeds returned to the unitholders which shall be calculated in value per unit; The statement under (1) of the second paragraph shall be audited and given opinions on

notification of the Office and shall keep the supporting documents which evidence the correctness of such account. In managing a private fund of the nature specified by the notification of the Office, the

selection of a custodian agent to ensure that the custodian agent has system ready to keep assets into its custody; □ (3.8)** System to coordinate with the custodian agent to ensure that the applicant can

ยืมคงค้าง (margin loan) 5. ยอดรวมมูลค่าหลักทรัพย์ให้ยืม 6. ยอดสุทธิ free credit balance 7. ยอดรวม credit line ทั้งหมด 8. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) ข้อ 2 สถานะบัญชีมาร์จิ้นตามเกณฑ์

ทั้งหมด 5. ยอดรวมทรัพย์สินส่วนเกิน (excess equity) (2) การดำรงหลักประกันของบัญชีมาร์จิ้น และบัญชีสัญญาซื้อขายล่วงหน้า ประจำเดือน ระดับ Margin จำนวน ราย จำนวนเงินที่ต้องเรียกเพิ่มหรือบังคับชำระหนี้ จำนวนเงิน

should take into account knowledge necessary for the personnel to keep up with the continually changes of technology. 10. Resource allocation such as office appliances, computers, and software, etc. which