Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
affect the conformance of such policy, the board of directors of the intermediary shall be informed without delay. Additional Guidelines 5. In complying with Clause 6(4), the intermediary should undertake
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
from graphs, technical analysis concept and scenario test. Clause 3 The SEC Office may announce a detailed guideline for the benefit of compliance with the requirements under this Notification. In case
service providing procedures. To reduce details in methods and procedures for the communication and service providing procedures under Paragraph 2, clients shall be informed of the information and risks of
management official could make derivatives trading decision for its clients (day-to-day decision) according to clients’ intention which have informed to derivatives investment manager regardless whether such
approval period. For the purpose of submitting this application by post, I hereby consent to formally interact with the SEC Office and be officially informed by the SEC Office via e-mail. In addition, in
1. long the underlying asset = (1- option delta) x current value of the underlying asset (NAV) คำนวณผลขาดทุนจากการเปลี่ยนแปลง ราคา option ตามวิธี scenario approach (คำอธิบายเชิงอรรถที่ 2) นำสถานะเทียบ
1. long the underlying asset = (1- option delta) x current value of the underlying asset (NAV) คำนวณผลขาดทุนจากการเปลี่ยนแปลง ราคา option ตามวิธี scenario approach (คำอธิบายเชิงอรรถที่ 2) นำสถานะเทียบ
dated 6 September 2013, and other relevant rules. The SEC Office hereby recommends the name of the contact officer in this matter: Ms Lalida Chuayrak, Tel: 0-2263-6255. Please kindly be informed and