: ............................................................................................................ Federation of Accounting Professions Membership No: .................... Expiry Date: ............. 3. Age:............. years Date of Birth
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs
securities company at the time of selling order but the securities company is confident that the customer owns such securities, regardless of whether the securities are in the customer’s possession or
is obliged to deliver the goods in the amount specified in the contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a
; (8) the provisions regarding the rules, procedures and period of time for the payment upon termination of an employee’s membership or upon dissolution of the fund pursuant to Section 25; (9) the
from the date on which the claimant knows or should have known of the cause of such dispute and not more than one year from the date on which the dispute occurred except where the Office deems it
shall be deposited at least one hour before the closing time of normal trading session on the next business day from the date that derivatives was executed; (b) in case of clients other than sub clause (a
derivatives position is held in order to secure the performance of derivatives contract; (5) “ market closing time ” means the closing time of the afternoon trading session of derivatives exchange. Clause 2 A
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as