, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
ประกันภัยสำหรับโครงการผลประโยชน์ของพนักงาน (Actuarial gains and losses on defined employee benefit plans) หมายถึง กำไรและขาดทุนจากการประมาณการตามหลักคณิตศาสตร์ประกันภัยตามโครงการผลประโยชน์ของพนักงานตามที่
the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of
be higher than the rate which the securities company actually gains from the deposit or investment in a promissory note or other means of investment. Clause 20. A securities company shall not utilize
of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market
will calculate from the amount of money segregated as assets of clients under this Notification. However, such rate of return shall not be higher than the rate which the securities company actually gains
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...