investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of
, who have duty to communicate with or provide services to the client , to display themselves, by ways and means as determined by the intermediary , that they are assigned by the intermediary to provide
particularly, and identifying such services area with obvious signboard or symbol; (2) conducting personnel, who have duty to communicate with or provide services to the client , to display themselves, by ways
appraising, it shall adjust such items to demonstrate total. If total result in loss, it shall demonstrate the amount of cash in the parenthesis. 1.4 Gain (loss) on Derivatives trading means gain or loss on
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the
evaluation shall be reported to the Board or the assigned working group periodically as deemed appropriate. The evaluator as such may be insiders or outsiders of companies. 8.4 In order to adjust the BCP to be
(display) ไว้เป็นเวลา ไม่น้อยกว่าห้าวินาที ข้อ 11 ในกรณีที่บริษัทหลักทรัพย์ตั้งบุคคลใดเป็นตัวแทนเพื่อทำหน้าที่จำหน่าย หน่วยลงทุน ตัวแทนเพื่อทำหน้าที่สนับสนุนการจำหน่ายหรือรับซื้อคืนหน่วยลงทุน หรือมอบหมายให้
securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display
examine and shall keep the said record for at least five years from the date of the account opening. Clause 26. In the services of derivatives broker, derivatives broker shall not display false statements