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

. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in

Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of 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

in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in relation to the customer’s account or

owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in

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