and clients with similar investment characteristics, etc. Clause7 A private fund management company may seek a loan or create any obligation on behalf of a private fund only in the following manners: (1
those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the intermediary shall have measures
comply with such rules. In case those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the
ไปกว่าทรัพย์สินที่ต้องการป้องกันความเสี่ยง (underlying obligation) ให้บริษัทจัดการคิด company limit ที่ผู้ขายประกันความเสี่ยงแทน underlying obligation ได้ โดยให้คิดเท่ากับมูลค่าชดเชยสูงสุดที่ต้องชำระ
. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the
futures Futures is a contract where both the buyer and seller have an obligation to comply with the agreement in the contract. Therefore, if the contract is not closed out before the settlement date, the
, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the
Securities and Exchange Commission No. Sor Thor. 13/2561 Re: Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other