(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should
license under the regulatory sandbox shall be able to demonstrate the ability to proceed in accordance with such procedure and internal control system throughout the period of providing services as a
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
office] from the work units and personnel responsible for post-trade operation [back office], and shall arrange for the personnel responsible for securities trading to submit a report on securities trading
operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign
Re: Approval for Investor Contacts and Standards of Conduct dated 3 December 2004; “Authorized officer” means any person who is registered by the Stock Exchange as agent of securities company to trade
, the Ministry of Commerce; (3) the updated regulations of the founding securities companies certified by the Office of Partnership Registration, the Ministry of Commerce. Clause 2 Any trade association
operating system which is in accordance with this guideline, its operating system shall be deemed compliant with the requirement in the aforesaid notification by the Office. The management company may proceed
person who, in the ordinary course of business, holds himself out to the general public as being ready to engage as a counter party in a derivatives contract with any person who intends to trade in
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