arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
transaction date วิธีทำรายการ3 Method of transaction ทำรายการผ่าน บล. …….. Transaction executed by (Specify broker’s name) หากเป็นการซื้อขายหลักทรัพย์ โดยวางหลักประกัน ให้ระบุด้วย 4 (Specify margin account if
aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer
must possess knowledge, ability and understanding in fund management business and the relevant rules and regulations, be a person of integrity and honesty and without any disgraceful record, and must
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions
International Organization of Securities Commission (IOSCO) and shall be a party of Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (MMOU) in type