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

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

, crude oil, or any other property as specified in the notification of the SEC with the approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index

postponing the public holidays on 13-15 April 2020 during Songkran Festival until the situation concerning the spread of the novel Coronavirus (Covid-19) has improved, in which case the Cabinet will consider

must prepare a risk disclosure statement that contain the minimum aspect of disclosure as set out under the guideline attached hereto. Clause 3. This Notification shall come into force as from 1 April

ล่วงหน้า ไม่ดำเนินการล้างฐานะสัญญาซื้อขายล่วงหน้า (close out position / force close) ในวันที่ 19 ธันวาคม 2549 จนทำให้ลูกค้าบางรายได้รับความเสียหายและอาจนำไปสู่ข้อร้องเรียนได้ นั้น สำนักงานขอเรียนว่า

management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make

checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform

. Additionally, the firm consents to audit quality inspection carrying out by inspectors of the SEC Office; 2. I certify that if an auditor of the audit firm has been registered with the SEC Office, the audit firm