customer. Derivatives broker must send the confirmation statement and the evidence of margin call under the first paragraph to customers by the method agreed with the customers within the next business day
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
valuation of such derivatives contract shall comply with the method agreed upon by the customer; (2) Measure performance of investments in, or holding of, derivatives contracts in accordance with the rules as
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
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
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
shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
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
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
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer