appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4) rights, duties, liabilities and conditions in part of the client , or an obligation binding the
) general information of the intermediary ; (2) characteristic, scope and condition of a service proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
optionally covering the scope of actions. In case of no resolution on such policy or implementation not yet taken, it should be proposed that the board of directors pass a resolution acknowledging their duty
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
.: _________________________ (please use an enclosure if there is more than one participating dealer) Part E: Representative of the CIS Operator 19) Name of proposed representative in Thailand
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
or person who is proposed to be an executive or person with power of control of a company or subsidiary: O yes (please specify in detail) name……………………relationship……………………... O being an executive of the
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager