Associated with Failure to Offset Position Should the client be unable to offset its derivatives position before the settlement date due to unfavourable market conditions, e.g. illiquidity, trading halt in the
disclosure statement for futures trading, the SEC Office hereby issues the following notification; Clause 1. In this Notification, “derivatives broker” means a juristic person licensed to undertake derivatives
under (1). Clause 3. The provision of Clause 2 shall not be applicable in the event that the Stock Exchange of Thailand issues a trading halt on listed securities of PTT Public Company Limited on 14
Disclosure Statement for Futures and Options Trading in Derivatives Exchange) วันที่ ............................................... บริษัท............................................................ซึ่งเป็น
securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
Clause 4(1)(a) or Clause 4(2), a derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any
responsibility in the line of work relating to capital markets if such person obtain an approval based on qualifications under Clause 8; (2) cease to be a person approved to perform the duties similar to fund
139(4) of the Securities and Exchange Commission Act B.E. 2535 (1992) as amended by the Securities and Exchange Commission Act (No.2) B.E. 2542 (1999) which contains certain provisions in relation to
Exchange Commission hereby issues the following regulations: Clause 1 . This Notification shall come into force as from 1 January 2010. Clause 2 . In this Notification: (1) The term “Executive” shall have