, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this

intermediary , in order to monitor the compliance with this Notification by the intermediary . In this regard, the SEC Office shall determine such period according to the following scopes: (a) in case of urgent

or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which

contract for hedging the risk of client on the condition that such dealer has a risk profile opposite a client’s hedged risks at the time of contracting, or the derivatives would be able to significantly

transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices and time, which may be deemed that he intends to match the trades (matched order) without any

Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with

) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work

have contact persons with investors, subject to approval of the Office, to sell investment units or to solicit customers or to prepare investment plans for customers. Any person so approved by the Office

: 2.1 Withdraw by the order of the client; 2.2 Withdraw for the client; 2.3 Withdraw assets in accordance with sell order; 2.4 Withdraw assets for securities lending; 2.5 Withdraw assets for collateral

ที่เรียกเก็บได้จากการเรียกเพิ่มหรือบังคับชำระหนี้ บัญชีมาร์จิ้น           Call Margin        Force Sell/Buy บัญชีสัญญาซื้อขายล่วงหน้า   Call Margin Force Sale/Buy (3) รายละเอียดลูกค้ามาร์จิ้น ลำดับ ที่