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
of such suitability. It shall also provide basic advice to the client in order to raise the client’s awareness on the importance of asset allocation and determine investment proportion or enter into a
) the circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content
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
purchase or sell a securities with a [concurrent] agreement to sell back or buy back such securities; (3) any contract or trade as specified in the notification of the SEC. SECTION 5. Any derivatives
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
ที่เรียกเก็บได้จากการเรียกเพิ่มหรือบังคับชำระหนี้ บัญชีมาร์จิ้น Call Margin Force Sell/Buy บัญชีสัญญาซื้อขายล่วงหน้า Call Margin Force Sale/Buy (3) รายละเอียดลูกค้ามาร์จิ้น ลำดับ ที่
Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to
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
การบังคับชำระหนี้ บัญชีมาร์จิ้น Call Margin Force Sell/Buy บัญชีสัญญาซื้อขายล่วงหน้า Call Margin Force Sale/Buy (3) รายละเอียดลูกค้ามาร์จิ้น ลำดับ ที่ เลขประจำตัว คำนำหน้า ชื่อ-สกุล