the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such

each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall

property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information

electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past

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

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

. 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