derivatives trading which may reduce the risk of the outstanding position of such client; (2) close out the client’s derivatives position at least one hour before the closing time of normal trading session on
. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
three business days from the date when a report on securities analysis has been disseminated to investors; (c) the period where there are outstanding securities trading orders of clients; (d) the period
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
. KorThor. 67/2547 Re: Call for and Deposit of Margins for Derivatives Trading in Derivatives Exchange dated 22 December 2004 and Clause 3(4) of the Notification of the Securities and Exchange Commission No
Exchange Commission No. SorThor/Nor. 19/2550 Re: Application Form for Approval of Agricultural Futures Trading Business by Operators of Derivatives Business _____________ By virtue of the second paragraph of
settling the assets with outstanding obligations to the following third parties: (a) a person related to the transactions of derivatives trading or securities trading of the client , in which case the
Exchange Commission No. Kor Thor. 20/2563 Re: Rules, Conditions and Procedures for Application for License and Issuance of License for Establishing a Securities Trading Center under Regulatory Sandbox to