Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the
เสี่ยงจากคู่สัญญา (counterparty risk) และค่าความเสี่ยงจากการกระจุกตัว (large exposure risk) โดยให้บริษัทแสดงรายการการคำนวณตามแบบรายงานรายละเอียดเงินลงทุน (ส่วนที่ 3) 4. ในการคำนวณค่าความเสี่ยงประเภท
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
Section 104 Securities and Exchange Act B.E. 2535 Section 104. A securities company shall appoint directors or managers or enter into an agreement with other persons, giving the power, either in
. a large number of redemption due to panic or the issuer unable to pay the principal and the interest within the prescribed period. Such practices should be reviewed and tested. (6) Having corrective
the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of
(FATF) Recommendations. (2) the financial institution implements adequate and effective KYC/CDD process on clients, and (3) a written agreement has been made with the financial institution to ensure that