and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer
, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For
. In case of the complaint received by the securities company from a customer and relating to duties executed by its agent, the securities companies shall send such complaint to the agent to find a
suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be; ( (3) request for renewal of approval or request for
securities underwriting whereby a licensee has notified and executed its intention to comply with the Notification of the Capital Market Supervisory Board concerning Temporary Rules for Undertaking Business of
mutual fund management company and a mutual fund under its management may be executed only when necessary and appropriate, and upon written approval of the mutual fund supervisor prior to entering into
(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients
following business day of the transaction date. Clause 27 For the purpose of sending out confirmation statements under Clause 26: (1) in case of a transaction executed in a foreign country, a confirmation