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
. In the case where a management company has determined a policy or a guideline for setting up the price or the rate for entering into a transaction with a connected person , and such policy or guideline
statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
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
(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...
” 3 means a fund established for employees of multiple employers. “wages” means the money paid by the employer to the employee as remuneration for working, whether determined, calculated or paid as the