providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In
providing services to a client, an intermediary shall proceed as follows: (1) supervise the personnel to provide portfolio advisory or investment strategy of program trading in consistent with the assessment
authorized in writing from the customer. Clause 6. Derivatives broker shall proceed as necessary for clients to obtain rights and benefits arising from their securities or any instruments in the custody of
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody
Notification of the Capital Market Supervisory Board in accordance with Section 111/1 of the Securities and Exchange Act B.E. 2535 (1992) . “ client’s asset ” means an asset deemed to be owned by a client as
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
securities with a securities company ; (4) “ client ” means a counterparty who is not a securities company , the Bank of Thailand, or a person licensed to undertake securities business in the category of