(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily
comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
each accounting period of six months. Such publications shall be posted in a prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall
auditor’s report in at least one local daily newspaper and delivering a copy of the newspaper in which the said announcement has been published to the SEC Office. The proceedings under Paragraph 1 regarding
accordance with the following rules; (1) prepare and complete the daily report of net liquid capital calculation by the following business day. Every report shall be signed by authorized person; (2) file the
correction under (2) and the value correction date thereof under (2) in at least one daily newspaper within three business days from the date on which the fund supervisor has certified the information in the
ราคาอ้างอิงรายวัน (daily reference settlement) ซึ่งรวมดอกเบี้ยค้างรับ (accrued interest) ที่เผยแพร่อยู่บนเว็บไซต์ของสมาคมตลาดตราสารหนี้ไทย ณ สิ้นวันที่คำนวณ - หุ้นจดทะเบียน หรือหน่วยลงทุนที่มีการซื้อขาย
วันที่ ............................................................... ชื่อกอง ประเภท (O/E, C/E) การรับ ซื้อคืน (daily, weekly,..) ประเภท ตราสาร (BE, P/N,Bond) ผู้ออก ผู้รับรอง/ ผู้รับอาวัล/ ผู้สลักหลัง