broker shall send the confirmation statement and additional evidence of margin call prescribed under Paragraph 1 to customers through the method agreed upon by the customers within the next business day
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
supervisor, to investors and the general public by efficient method which sufficiently allows investors and the general public to uninterruptedly obtain such information at all times as appropriate to the
authority of the Capital Market Supervisory Board; therefore, it deems appropriate to issue this Notification to replace Notification of the Securities and Exchange Commission Re. Rules and Periods for Report
appropriate to issue this Notification to replace the Notification of the Securities and Exchange Commission No. KorNor. 57/2543 Re: Rules, Conditions, and Procedures for Liquidation of Mutual Funds as a result
underwriting, mutual fund management and private fund management shall be the power of the Capital Market Supervisory Board, it is deemed expedient that this Notification be issued to replace the Notification of
under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if