providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives

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

Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which

best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 1.3.4 Shareholders

the following acts unless having improve the adequacy in accordance with the prescribed rule: (1) providing service for a new customer; (2) extending the period of service to a former customer; (3

arbitral process under the Derivatives Act B.E. 2546 (2003) in addition to the arbitral process under the Securities and Exchange Act B.E. 2535 (1992), it is deemed necessary to improve the processes and

ของสมาคมและ SRO) โดยคำนึงถึงความเสี่ยงที่พนักงานอาจมีการปฏิบัติไม่เป็นไปตามกฎเกณฑ์ ในกรณีที่มีความเสี่ยงสูง ผู้ประกอบธุรกิจต้องมีมาตรการเพิ่มเติม (enhance) ที่จะทำให้ติดตามตรวจสอบได้ว่าพนักงานมีการ

proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An

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

shall prepare and submit the financial statements for the accounting periods of six months and one year, which have been audited and given the auditor’s opinion, to the SEC Office, and shall proceed as