(2) as the case may be. For the purpose of Paragraph 1, the term “ senior management ” means manager, assistant manager, or a person whose position is in the same level as the aforesaid position but is
customer. Clause 20. Prior to opening of the account, derivatives broker shall consider pledging and debt repayment capability of the customer for the maximum level of derivatives position which the customer
ถึงเกณฑ์ reportable level และไม่เกิน speculative position limit ที่กำหนดโดย TFEX (4) ระบบการเรียก วางหลักประกันและการบังคับปิดฐานะสัญญาฯ ก) ขั้นตอนเกี่ยวกับการวางหลักประกัน การเรียกหลักประกันและการ
customer should consider the suitability with the purpose of investment, financial position and customer’s acceptable level of the risk. Clause 15. In giving a specific advice, the investment advisory
services of ...................., as detailed as follows: Position * Responsibilities ** No. of Persons Experience in Auditing (year) *** Average Experience **** Employee Turnover (%) ***** Partner Senior
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position
management” means a deputy manager, an assistant manager, a division director, a branch manager, and any persons holding equivalent position called otherwise and such person shall be responsible for services
company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor
presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity