with short position) are required to make an initial margin deposit with their futures agent to secure their performance under futures contracts. Since the amount of initial margin is small compared to
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
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
· Understanding of, and practical experience with, engagements of a similar nature and complexity through appropriate training and participation · Understanding of professional standards and applicable legal and
notification of the Capital Market Supervisory Board, irrespective of whether such power arises from any agreement, understanding, relationship or else, and whether such power arises from the acquisition or
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
ประเภท signatory A ใน Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (MMOU) “หน่วย” หมายความว่า หลักทรัพย์ประเภทหุ้นของบริษัท (investment