confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position limit of their clients, the

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

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically

Office” means a securities company’s branch office in Thailand that provides services through computer and limit its services to the scope set forth in Clause 7. Chapter 1 Full-service Branch Office and

such derivatives broker. “Online Branch Office” means a derivatives broker’s branch office in Thailand that provides services through computer and limit its services to the transaction set forth in

- 2 - สิ่งที่ส่งมาด้วย - ตัวอย่างการคิด company limit ตัวอย่าง : บลจ. A ทำธุรกรรม reverse repo กับคู่สัญญา B ทั้งสิ้น 3 ธุรกรรม โดยใช้ตราสารหนี้ ของบริษัท ( ( และ ( ตามลำดับ ทั้งนี้ มูลค่าธุรกรรมและ

business in the category of derivatives broker or derivatives dealer; “ investment limit ” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC

; (c) establish password management systems to ensure security of passwords; (d) tightly restrict and control the use of utility programs and limit access to program source code. Additional Guidelines 1

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

, No. SorNor. 28/2549 Re: Investment and Holding of Assets for a Fund dated 17 July 2006 under Part 2: Rules of Investment Limit of Funds and preceding Chapter 1: Rules of Investment Limits in General