in the amount not less than 1 million baht and not less than 7% of the general liabilities and collateral: (a) not keeping the client’s assets in its possession; (b) not having investment in or holding
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of
initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of
investor. However, the amount of assets placed as an initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of
related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to
evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
trading order and the details related to derivatives trading transaction, and documents and evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5
longer provide service for securities company . Clause 8. Securities company shall require service provider to keep, complete and update documents and evidence of service provider. Such keeping shall be
longer provide service for securities company . Clause 8. Securities company shall require service provider to keep, complete and update documents and evidence of service provider. Such keeping shall be
evidence of service provider. Such keeping shall be readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine