investors as follows: “Prior to making an investment decision, investors should carefully exercise their own judgment when considering detailed information relating to the issuer and the terms of the
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
Derivatives Intermediaries dated 6 September 2013. Clause 3 The regulations detailed in this Notification are stipulated for intermediaries to proceed in the same direction in compliance with the Notification
audited financial statements for the most recent financial year; (b) having direct investment in securities or derivatives in the amount of not less than forty million baht, or not less than eighty million
, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013. Clause 3 3 The regulations detailed in this Notification are stipulated for
each category of the level of secret, both direct access and indirect access, including the destroy method for information in each category of the level of secret. [M] · Transmission of importance
_____________________________________________________________________ 5. I/We affirm that the Hong Kong Covered Fund, as detailed in Part A of this application form, and the Hong Kong Covered Management Company, as detailed in Part B, is completely in compliance with
เป็นการกู้ยืมเงินโดยตรงให้ใช้คำว่า “direct loan” ส่วนการทำ ธุรกรรมการขายโดยมีสัญญาซื้อคืนให้ใช้คำว่า “repo” 5. มูลค่าธุรกรรม หมายถึง จำนวนเงินที่กู้ยืม หรือจำนวนเงินที่ได้จากการขายหลักทรัพย์ 6. ชื่อและ