customer’s order according to rules prescribed in this Notification; or (2) sale of securities pursuant to the customer’s order where the customer has not yet delivered possession of such securities to the
%. The reasons for such decreases are:- - Sale increased from Baht 243.18 Million in Q1/2017 to Baht 269.92 Million in Q1/2018 an increased Baht 26.74 Million or 11.00% due to rubber glove customer’s
custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
providing service under Clause 3, derivatives broker shall undertake the followings: (1) arranging to have process to ensure that customer acknowledge risks associated with derivatives trading on foreign
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
the customer. (2) Treat all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information
customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “maintenance margin” means the minimum amount of assets to be maintained by a customer as long as the