a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the
assurance that its understanding is in agreement with the client’s understanding of the work to be performed. B Resignation from Audits: 1 Does the firm have policies/procedures on withdrawing from the
Section 112 Securities and Exchange Act B.E. 2535 Section 112. In operating the business of securities brokerage, a securities company shall enter into a written agreement with the customers who
assets ” means total sum of the following assets: (a) cash and bank deposit; (b) securities purchased under reverse repurchase agreement with accrued interests; (c) promissory notes and bill of exchange
account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of Business , the intermediary shall arrange such agreement in compliance with the
that the basis of rules and regulations which would serve as management standards must be set out. In this respect, management companies, which are entrusted by their customers, shall manage the
derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The agreement shall not be
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
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