เป็นต้น 2.2 การจัดท าบัญชีรายชื่อหลักทรัพย์ที่ต้องติดตามตรวจสอบและจ ากัดการท าธุรกรรม (WL : Watch List และ RL : Restricted List) ผู้ประกอบธุรกิจจัดให้มีการจัดท าบัญชี WL/ RL เพื่อประโยชน์ในการติดตามตรวจสอบ
เป็น underlying (กำหนดหลักทรัพย์ดังกล่าวในทะเบียน Watch List และ Restricted List) และกำหนดสิทธิในการเข้าถึงข้อมูลตามหลัก need to know เป็นต้น 3.
and work retention. • Inventories increased by Baht 13 million. This was primarily due to work in progress for engineering service. • Restricted cash increased Baht 12 million due to maintenance reserve
of transactions includes an understanding of the interfaces between various systems. We consider risks that data is not accurately and completely transferred. • System interface: Data is automatically
issuance of securities for sale to investors with the requirement that returns to the holders of the securities will depend on a flow of receipts generated from the assets which are transferred. “assets
margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of
Exchange (No. 3) dated June 13, 2011 4 Clause 7/17 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process
Exchange (No. 3) dated June 13, 2011 4 Clause 7/17 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process
management of residential projects • Residential projects that are completed and transferred to customers at 4 locations, namely ESCENT Rayong, ESCENT Chiangmai and ESCENT Khonkaen where all units have been
: www.sec.or.th Email: mrfhongkong@sec.or.th Page 14 of 15 (d) the Hong Kong Covered Fund may have indirect exposure to restricted assets19 via its investment in underlying funds falling within paragraphs 5(a), 5(b