ตลาดหลักทรัพย์ ที่ สน. 41/2560 เรื่อง การเปิดเผยการปฏิบัติตามหลักธรรมาภิบาลการลงทุนสำหรับ ผู้ลงทุนสถาบัน (Investment Governance Code for Institutional Investors) ลงวันที่ 3 สิงหาคม พ.ศ. 2560 เพื่อกำหนดหลักเกณฑ์
which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities
Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an
rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under
derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any
. “ qualified liabilities ” mean: (1) liabilities which are secured with collateral placed by the securities company and are not under the condition allowing the creditor to call for prepayment before the
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
accountability in accordance with the professional code of ethics, auditing standards, and other additional regulations prescribed by the law governing securities and exchange. Yours sincerely, Signature
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted