under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients

that the maximum loss of a buyer of options is limited to the premium, he/she is to pay the premium but is not required to make margin deposit. On the other hand, the seller’s losses can be unlimited

the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1

performance fee basis, the method for calculation of the performance fee should be disclosed together with the disbursement fee and the example of the calculation. (3) Investment policy and investment

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for

. If the custodian receives a notification from its clients in order to switch to another custodian, the custodian shall hand over the assets to the other custodian within fifteen days. Clause 10. The

transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if

complied with the Notification No. Tor Thor. 35/2556 and the Notification No. Sor Thor. 37/2559 . In case of adopting a different approach from the Guidelines, the intermediaries are required to prove that

use valuation method and shall be granted exemption as follows: (1) in determining the fair value of equity instruments issued by PTT Public Company Limited for calculating the net asset value of mutual

significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and