the Law on Securities and Exchange. “ goods ” means securities , gold , crude oil and other goods as prescribed under the Notification of the Securities and Exchange Commission Re: Determining
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 3. In this Act: “goods” means securities, gold, crude oil, or any other property as specified in the notification of the SEC with the
: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 2) dated 24 September 2014. Clause 3 In this Notification: “ capital market product
Clients regarding Investment in Capital Market Products Denominated in Foreign Currency (No. 2) dated 24 September 2014. Clause 3 In this Notification: “ capital market product denominated in foreign
is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a
% ; product limit ≤ 15% (ข้อ 73 ประกาศ สน. 24/2552 และหนังสือเวียน ที่ กลต.น.(ว) 39/2549) ลงทุนได้เฉพาะหน่วยกอง MMF เท่านั้น เหมือนเดิม single fund limit ≤ 10% (ข้อ 106/2(3) ประกาศ สน. 33/2553) ห้ามลงทุน 2.5
the underlying goods of derivatives (if any) before sending trading orders; (2) having a system for repaying obligations under derivatives and delivering the underlying goods of derivatives (if any) by
ลงทุนทั้งหมดของลูกค้าด้วย (2) กรณีที่ผล suitability test ของลูกค้า อยู่ในระดับความเสี่ยงต่ำ ไม่ได้หมายความว่า ลูกค้าจะลงทุนใน product ที่ระดับความเสี่ยงสูงกว่าระดับความเสี่ยงที่ลูกค้ายอมรับไม่ได้เลย แต่
inappropriateness with conditions of such intermediary ’s business; (c) is not necessary for some types of capital market product s ; (3) announcing a detailed guideline for the benefit of compliance with the
facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer