may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business
characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary
under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
in the Securities Exchange. "competent officer" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette. "Office
, who have duty to communicate with or provide services to the client , to display themselves, by ways and means as determined by the intermediary , that they are assigned by the intermediary to provide
control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics
market, and etc , the Client may sustain a loss due to its outstanding position in derivatives contracts at settlement date. 3.5 Risk Associated with Failure to Execute Stop Loss Order A derivatives agent