liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange
premises or another person’s, such premises shall be secure. In case of using another person’s premises, the securities company shall inform such person explicitly that the assets belong to the client
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
securities company should arrange an information security system according to the following guidelines: (1) putting in place a secure and efficient system for safekeeping information, evidentiary documentation
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
informs you that the AMLO, the core agency with a duty to supervise matters concerning money laundering, has issued rules with details whereby intermediaries are required to establish a client acceptance