transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely

subclause (1), such information shall be revised and updated at the first available opportunity; (4)1 in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary

subscribers. (3) underwriting of securities in the category of debentures, convertible debentures, structured debentures or sukuk offered for sale to the public and securities underwriter under Clause 5 or

Section 106 Securities and Exchange Act B.E. 2535 Section 106. A securities company shall prepare a balance sheet and a profit and loss account for each accounting period of six months in the form

categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt

underwriter shall proceed as follows: (1) deposit subscription money into a securities subscription account of an offeror or segregate subscription money from an asset account of the securities underwriter

; (c) non-investment grade or unrated bonds; (d) structured debentures according to the Notification of the Capital Market Supervisory Board concerning Application for and Approval of Offer for Sale of

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the