to undertake securities business in the category of securities dealing; “counter trader” means a person who trade securities with securities company; “client” means a counter trader which is not a

. Other derivatives liabilities 18. Provision 19. Other liabilities Total liabilities Shareholders’ equity 20. Share capital 20.1 Authorized share capital 20.2 Issued and paid-up share capital 21. Stock

transparent disclosure of information related to execution of trading transactions which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (d

clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as

applicable) ผู้ซื้อ/ ผู้รับโอน โปรดระบุชื่อ/ความสัมพันธ์ 5 Purchaser/ Transferee (Specify name and relationship) จำนวน (Amount) ราคาเฉลี่ย (Average price) ผู้จัดทำ / Reporter หุ้นสามัญ (common share) หุ้น

derivatives broker in the first paragraph, derivatives broker shall trade in derivatives only with institutional investor counter party. Clause 4. The provision of Clause 12 only with respect to an arrangement

หลักทรัพย์อาจไม่แสดงรายการนั้นก็ได้ โดยการแสดงรายการให้เรียงตามลำดับดังนี้ ลูกหนี้การค้า (Trade receivables) ให้แสดงต่อจากรายการที่ 4 (ลูกหนี้ธุรกิจหลักทรัพย์และสัญญาซื้อขายล่วงหน้า) สินค้าคงเหลือ

result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity; (c) being the manner of inappropriate investment as a professional; (d) bringing

proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity

cases where a client wishes to trade derivatives which have specific risks different from those disclosed in the risk disclosure statement under Clause 14 and the intermediary has never disclosed such