. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and
Notification of the Capital Market Supervisory Board Translated Version as of ………………… Readers should be aware that only the original Thai text has legal force and that this English translation is
in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the intermediary . “ institutional investor ” means an
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
providing incentive gifts, rights or other benefits to a client in order to stimulate or reward the client to immediately [i] use offered services or [ii] invest in capital market products presented by the
the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of
function, internal audit, or risk management, in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business ; “ client ” means user
) derivatives trading by the client has or may have an impact on the orderly trading of the derivatives exchange, or has caused or may cause the trading price to deviate from normal market conditions; (b) the
such changes to the capital market products (if any). Chapter 2 Compilation and Assessment of Client Information __________________ Clause 6 In compiling and assessing client information according to
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the