agent; “mutual fund rating” means giving advice or opinion or suitability of investment in a mutual fund in comparative value and may be giving a sign or other symbol for supplementing such advice or
regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client
equipped with knowledge and capability in trading futures contracts and protecting their own interest.
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
products or [iii] selling capital market products by using regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
------------------------------------------------------ กรณีที่เป็นระบบสารสนเทศเพื่อการซื้อขายหลักทรัพย์ (trading system) ให้เพิ่มรายละเอียดชื่อย่อหลักทรัพย์ (securities symbol) / หมายเลขบริษัทสมาชิก (broker No. 4 หลัก : xxxx) / เลขที่คำสั่งซื้อขายหลักทรัพย์
, settlement month, etc. or the derivatives symbol assigned by a derivatives exchange; (4) The amount and price of a derivatives contract; (5) The type of transaction, such as opening or close-out of derivatives
paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce