ทรัพย์ และสัญญาซื้อขายล่วงหน้า Report on the changes via Form 59 must be submitted within three business days after the transaction date of purchase, sale, transfer or acceptance of transfer of securities

depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the

obligation etc.. 3. Securities purchased under a reverse repurchase agreement means a loan with an agreement to accept the transfer of a financial asset from the other party in exchange for cash or in return

brokerage services on listed securities, shall come into force as from 1 January 2016; (3) Clause 30, which relates to knowledge test of clients who are interested in investing or entering into a transaction

, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For

alteration which having the regulation related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] · Providing a procedure or compliance

preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither

Paragraph 1 shall be based on the trading value of each transaction. (12)3 repealed; (13)2 “ connected person ” means the following persons; (a) connected person under the Notification concerning Conduct

least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized

insurance shall be calcualted on the date of such event; (2) upon sale, disposal, transfer, or redemption of the liquid assets or insurance , the value of such liquid assets or insurance shall be calcualted