has shown that it has already borrowed securities and the customer is able to deliver securities pursuant to the short sale items within the time period prescribed by the clearing house under the law on

..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 33. A derivatives business operator shall segregate the customer asset from its own, and shall prepare and keep account of customer asset for

CUSTOMER ASSET SECTION 31. 2 The provisions of this Division shall apply to derivatives agent licensed under Section 16. The Capital Market Supervisory Board may, if appropriate, promulgate the notification

reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27

Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of

derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure

customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the

” means derivatives exchange licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) “customer contact person for

opinion; “collateral” means a collateral for compensation of damage to a customer arising from incorrect or incomplete performance of duties of the investment advisory company, i.e. : (a) insurance policy