where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of over-allotment shares” means a securities underwriter who is obliged to provide over-allotment shares
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
cases where the amount of shares allocated to subscribers exceeds the underwriting amount; (8) “provider of overallotment shares” means a securities underwriter who is obliged to provide overallotment
(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
business in the category of derivatives broker or derivatives dealer; “ investment limit ” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC
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
than the report as specified under the first paragraph, in case the offeror has seperated some shares specifically allocated to the patron , the offeror shall prepare a name list of 200 persons receiving
หน้านั้น ๆ อาจทำให้เกิด unlimited loss แก่กองทุน/ลูกค้า · มีระบบฐานข้อมูลที่ใช้ในการคำนวณมูลค่า/สัดส่วนของสัญญาซื้อขายล่วงหน้าอย่างถูกต้องเหมาะสมและทันต่อเหตุการณ์ เช่น หากเป็นกองทุนรวม ต้องคำนวณทุกวัน
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
discharge of the responsibilities allocated to them, and having honest behaviors without notorious background. In case the personnel under the first paragraph are required to obtain an approval from the SEC