the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
of the management company or any equivalent position called otherwise who take the highest responsibility in the line of work relating to capital markets if such person obtain approval to be listed in
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
profit in short space of time, and vice versa, he or she may make a large amount of lose in that time which can be over the initial margin placed with the derivatives broker. 4. Risk from futures position
หน่วยวัดมาตรฐานของสินค้านั้น (เช่น ทรอยเอานซ์ กิโลกรัม ปอนด์ บาร์เรล) คูณด้วยราคาที่เหมาะสม ของสินค้านั้น (กรณี option ให้คำนวณหา equivalent delta position) กรณีที่เป็นสกุลเงินต่างประเทศให้แปลงค่าเป็นสกุล
derivatives position; (5) “ maintenance margin ” means the minimum amount of assets which a client shall maintain as long as the derivatives position is held in order to secure the performance of derivatives
whichever name of position of such person is called; “investment consultant” 9 means a person giving investment consultation to investors, relating to solicitation for investment or providing consultation for