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

(2003) , the SEC hereby issues this Notification with details as follows: Clause 1 The following notifications shall be repealed: (1) Notification of the Securities and Exchange Commission No. Kor Thor

derivatives broker shall provide evidence relating to derivatives trading as follows: (1) evidence relating to the taking and execution of customer’s derivatives trading order containing at least the details of

and Exchange Act (No. 4) B.E. 2551 (2008) , and Section 97 of the Securities and Exchange Act B.E. 2535 (1992) , the Securities and Exchange Commission hereby issues this Notification with details as

estimated return does not include unitholders’ capital; (5) details of the fund’s investment under (1)(a) shall be disclosed, of which at least the following particulars, which are the same as those contained

fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a

; (3) give the name and contact details of the derivatives broker in order for the client to be able to make enquiries on the giving of advice; and (4) comply with the criteria for the translation of

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

past 3 years; 2. Audit Firm Profile and Details. I hereby certify that: 1. The information provided in the Form of Audit Firm Profile and Details and the supporting documents attached therewith is

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under