restriction; (6) in case of an offering of structured notes that requires the quota verification of underlying shares, the Company has been notified by the SEC Office of the confirmation of such underlying
redemption prices; (4) control and monitor any employee who gives the information thereof to clients for correctness and accuracy. Chapter 5 Sending out Transaction Confirmation of Clients
(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1
ensure that no securities trading transactions of clients shall be revised in violation of or inconsistent with the specified methods and procedures. Chapter 5 Sending out Transaction Confirmation of
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
determined in accordance with the following formula: Sale Shares Price = Permata Book Value (as set out in the last financial statements published prior to the date of confirmation of satisfaction of all
สิทธิ อนุพันธ derivatives และ structured note ของธนาคารที่มี กฎหมายเฉพาะจัดตั้งขึน้ ธนาคารพาณิชย บริษัทเงินทุน (ขอ 57) Company limit ไมเกิน 20% (4) ตราสารแหงทุน ยกเวนหนวยลงทุนที่ บริษัทจดทะเบียนเป