derivatives position is held in order to secure the performance of derivatives contract; (5) “ market closing time ” means the closing time of the afternoon trading session of derivatives exchange. Clause 2 A
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall
to the work unit responsible for post-trade operation within a reasonable period of time in order for the securities company to acknowledge and be able to report the result of securities trading in
securities dealing to submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to
Section 109 Securities and Exchange Act B.E. 2535 Section 109. The Office may require any securities company to submit any report or present any document for any period or from time to time as
, accepting of trading orders, or negotiation with clients is made via telephone or electronic means, the securities company shall keep records of such action by using a tape recorder or an electronic data
the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the