purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk

: (1) to claim damages from a liable trustee; (2) to recover a property from a third person regardless of whether such third person directly acquired such property from the former trustee and whether

have committed predicate offences or money laundering offences under the Thai or foreign laws, including their associates; (2) list of name of politically exposed persons (PEPs), either Thai or foreign

accuracy of orders, and can be examined that such orders are acquired as prescribed in the prospectus; (d) having a system for accepting customer’s complaint which supports the compliance with in the

” means any mutual fund which has specified in its scheme the actual real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and

has specified in its scheme the real estate to be acquired pursuant to the Notification of the Office governing rules, conditions and procedures for establishment and management of property funds; (8

กฎหมายฟอกเงิน ไม่ว่าจะเป็นกฎหมายไทยหรือ กฎหมายต่างประเทศ (2) รายชื่อบุคคลที่มีสถานะหรือมีความสัมพันธ์เกี่ยวข้องกับการเมือง (politically exposed persons หรือ PEPs) หรือบุคคลที่มีความเกี่ยวข้องกับบุคคลดัง

institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired

same day, the reporter shall specify the total amount of securities and derivatives that each purchaser or transferee acquired. If the name of the purchaser or the transferee is unknown, the reporter