case may be. “ clearing house ” means a clearing house under the law on securities and exchange . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short

represent entitlement in assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives

representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s

Section 98 Securities and Exchange Act B.E. 2535 Section 98. No securities company shall: (1) reduce its capital without an approval from the SEC; (2) engage in any act which may mislead its

agricultural futures business, with price settlement and contract delivery obligations; (2) fifty million baht for undertaking of agricultural futures business with price settlement and contract delivery

) information assets, i.e., information, electronic data, and computer data. Clause 3 This Notification shall apply to the persons licensed to engage in securities business or derivatives business in the

exercise its discretion or make decision in the operation for the intermediary; “ end user ” means the employees of the intermediary and contractors who engage in the operation and has access to the

for approval to engage in the futures trading business in the category of futures trader, futures broker, futures trading advisor, futures pool business operator, futures trading manager or futures

shall be audited and given an opinion by an auditor who is duly authorized to engage in the auditing business in the countries where the investment units are offered, provided that such matter shall be

the following matters: (1) Receipt or delivery of client’s assets; (2) Record of the particulars of client’s assets; (3) Management of client’s assets information. Clause 7. For the custody of client’s