transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For
mutual fund management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if
(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
. In case of the complaint received by the securities company from a customer and relating to duties executed by its agent, the securities companies shall send such complaint to the agent to find a
suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be; ( (3) request for renewal of approval or request for
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or