management of the service provider in the foreign country; (3) criteria for reviewing and changing a service provider; (4) guidelines for subcontracting the outsourced function by the service provider to
specified in Paragraph 1(1) at every level of subcontracting Clause 17 In case the contract under Clause 16 has an affiliated company of an intermediary being counterparty with a service provider for the
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
intermediary’s information cannot be recovered; (12) a clear term for subcontract of the cloud computing service should be in place. The term should provide, at a minimum, that such subcontracting is a part of the
Exchange Commission. Clause 2. A securities company may sell securities that are not in its possession only in the following cases: (1) short sale for the securities company itself or pursuant to the
entrusted to sell or redeem investment units, as the case may be, of mutual fund; “Staff” means any staff and employee of the management company and shall include managing director or equivalent which is
Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to
ที่เรียกเก็บได้จากการเรียกเพิ่มหรือบังคับชำระหนี้ บัญชีมาร์จิ้น Call Margin Force Sell/Buy บัญชีสัญญาซื้อขายล่วงหน้า Call Margin Force Sale/Buy (3) รายละเอียดลูกค้ามาร์จิ้น ลำดับ ที่
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives