policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the

ไปกว่าทรัพย์สินที่ต้องการป้องกันความเสี่ยง (underlying obligation) ให้บริษัทจัดการคิด company limit ที่ผู้ขายประกันความเสี่ยงแทน underlying obligation ได้ โดยให้คิดเท่ากับมูลค่าชดเชยสูงสุดที่ต้องชำระ

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

country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true

exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary

(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...

any center or network with the characteristics as specified in the notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation

notification of the SEC. “trade in derivatives” means to enter into a derivatives contract. “derivatives position” means an obligation or right of a person arising from derivatives trading. “close out a

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

system for obligation repayment under derivatives and delivery of the underlying goods under derivatives (if any) by an approved person for operation under a regulatory sandbox in the same manner as a