being fund supervisor are unlimited liabilities partners or limited liabilities partners that hold shares in an aggregate of more than ten percent of the total shares of such limited partnership; (3

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should

that the maximum loss of a buyer of options is limited to the premium, he/she is to pay the premium but is not required to make margin deposit. On the other hand, the seller’s losses can be unlimited

dispute between a provident fund member and the respondent, provided that the claimant shall demonstrate a written evidence or agreement that the respondent gives consent to resolve the dispute by the

procedures and processes to resolve the issues, and lists of contact persons and the communication channels, etc.; (8) define the level of security for each type of data to be used in the cloud service by

หน้านั้น ๆ อาจทำให้เกิด unlimited loss แก่กองทุน/ลูกค้า · มีระบบฐานข้อมูลที่ใช้ในการคำนวณมูลค่า/สัดส่วนของสัญญาซื้อขายล่วงหน้าอย่างถูกต้องเหมาะสมและทันต่อเหตุการณ์ เช่น หากเป็นกองทุนรวม ต้องคำนวณทุกวัน

Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...