Associated with Failure to Offset Position Should the client be unable to offset its derivatives position before the settlement date due to unfavourable market conditions, e.g. illiquidity, trading halt in the
under (1). Clause 3. The provision of Clause 2 shall not be applicable in the event that the Stock Exchange of Thailand issues a trading halt on listed securities of PTT Public Company Limited on 14
of all types shall cease on the expired date of the latest approval. Clause 17 The application for renewal of approval of personnel under Clause 8(1), (2) and (4) and Clause 9 shall be submitted as
apart from sub clause (a), the period of approval of all types shall cease on the expired date of the latest approval. Clause 17 The application for renewal of approval of personnel under Clause 8(1), (2
procedures for approval corresponding to each type of investment units and group of investors. Clause 4. Upon the expiry date of the offering period of investment units of any scheme, should any of the
securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in
proceed with the order of any kind of futures trading of an investor which has an objective to limit potential loss of futures trading such as the stop loss or stop limit order, etc., due to the unfavorable
information owner give other user the right to reach or modify his information such as share file etc., it shall give the right for specific person or specific group only and cancel such right when there is no
fee, loan interest, gain and loss from securities trading and interests and dividend from investment etc.. Furthermore the company have to stop recognizing income client, it shall disclose rule of
Securities and Exchange Commission hereby issues the following regulations: Clause 1 The management of funds of juristic entities under the same business group shall not be regarded as the undertaking of