month, etc., or derivatives symbol assigned by a derivatives exchange ; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6) fees

benefit of the clients , in which case the clearing and settlement of the assets shall be made to the said person. (3) returning the remaining client’s assets to the client or transferring them to another

agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or

December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of

paragraph is ineligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company throughout the remaining period approved under the Notification governing

. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date

liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the

------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์

whose names appear on the register of unitholders on the dissolution date of the mutual fund money or assets remaining after the payment of debts; (5) applying for registration of the dissolution of the

, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives