settled by means of arbitration and the following procedure the customer is able to proceed with in case of unsatisfactory results provided by the derivatives broker; (4) preparing a summary report in
securities and exchange or within a time period agreed upon by the parties to the trading of securities, as the case may be. In the case of a short sale pursuant to the customer’s order, the securities company
connection, the Securities and Futures Commission of Hong Kong (“SFC”) and the Office of the Securities and Exchange Commission of Thailand (“SEC”) have agreed to develop a cooperative framework for cross
administration in the manner of deception, defraudation or corruption or having been settled the case with a fine due to the commission of such offence: O yes (please specify in detail) O the final judgement of
customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
(please specify) For example, date of being settled the case with a fine………....………… By office ……………………………………….……….…….… In offence relating to .…………………………………………… Under the law…………………………… (attachment) (if any
settlement of a civil dispute incidental to or in connection with the undertaking of the derivatives business, such dispute will be settled by means of arbitration organized by the SEC Office in accordance
within the period agreed by parties. (1) in case of short selling for proprietary account: (a) there shall be [i] an asset for exchanging with the ETF units or [ii] the ETF units for exchanging with
broker shall send the confirmation statement and additional evidence of margin call prescribed under Paragraph 1 to customers through the method agreed upon by the customers within the next business day
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration