profit in short space of time, and vice versa, he or she may make a large amount of lose in that time which can be over the initial margin placed with the derivatives broker. 4. Risk from futures position
recognition higher than investments in subsidiary and associated company in case of the subsidiary and associated company lose more than their capital. 3.8 Securities business account receivable and allowance
the fund or causing fund to lose its best benefit. Except that the transaction is specified in Clause 13; (3) Management company perform any acts to engage into assets trading or enter to be
client to lose or be required to deposit more collateral; (2) had the client fail to pay, deliver securities or deposit collateral within the specified period of time, the client may face the following
’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application for an
the derivatives exchange; (2) call for its clients to deposit additional margins when their margins drop below the rate or value of the maintenance margins prescribed by the derivatives exchange or
be applicable to the following clients: (1) a derivatives business operator under Thai or foreign law; (2) clients other than Subclause (1) who decline, in writing, to the derivatives dealer , to
. Should the loss sustained by the Client’s position in the market cause the balance in its margin account to drop below the maintenance margin , the Client will be called by his/her derivatives agent to
registered person, such person shall notify the decline of such renewal to the management company who has appointed such registered person as its fund supervisor within the next following date after the Office
Translation (Unofficial Translation) PAGE (Unofficial Translation) Page 32 of 32 Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Rel...