in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s derivatives
listed securities to be deposited by a client as collateral for purchasing securities, or a client’s excessive assets held in a margin account in proportion to the purchasing value of any securities prior
broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker has made with the client shall contain no statement which enables the derivatives
shall enter into a written agreement with the client who has assigned the derivatives broker to act as the client’s agent in derivatives trading, provided that the written agreement the derivatives broker
hundred million baht for: a. securities dealing business; b. securities underwriting business; c. any other type of securities business with the following characteristics: 1. keeping the client’s assets in
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept