through an agent who is not able to reach a satisfactory solution of the customer; (3) record the complaint in (1) from the customer in writing with the customer’s signature for certification prior to the
. TorThor. 25/2551 Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546 (2003) which contains
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin
or payments in accordance with the regulations prescribed by the Bank of Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide
shall make a contract of compromise as per Form OrYor. 4 prescribed by the Office. If the mediation is unsuccessful whether because the parties cannot reach an agreement or the Office is of opinion that
or payments in accordance with the regulations prescribed by the Bank of Thailand; (3) having sufficient networks and channels for providing services or communication which is able to reach a wide
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
policy and risk management that may be related to money laundering of clients, and to undertake client due diligence upon initial transaction and periodical review until the account is closed or the