derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

the purpose of this Section, a beneficial owner of shares shall mean any person with direct or indirect power to: (1) direct or control the exercise of voting rights in a derivatives business operator

obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

ผลที่เกิดขึ้นจากความเสียหาย ดังต่อไปนี้ 1) direct loss – ความเสียหายซึ่งเป็นผลมาจากเหตุการณ์ความเสียหายโดยตรง 2) indirect loss – ค่าใช้จ่ายที่เกิดขึ้นตามมาหลังจากเหตุการณ์ความเสียหาย เช่น ค่าใช้จ่ายใน

of the mutual fund or units of collective investment scheme with either direct or indirect investment in shares, upon disclosure of the value of such investment units or units, the value of such assets

indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

conduct securities investment analysis; (9) “ investment advice ” means advice, whether direct or indirect, on the value of a securities or the suitability of a securities investment, or on the buying or

, Measures, Management Arrangement on Information Security __________________ Clause 7 In this Chapter: “ teleworking ” means the operation which accesses the critical information system with indirect

analyze securities investment; “investment advice” means any direct or indirect advice made related to the value of securities or appropriate of investment in such securities or any other securities

firm, principals, staff or any immediate family members; · have any direct financial interests in audit clients or its affiliates? · Any indirect interests including being beneficiaries of a trust