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
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
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
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
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
clients’ order for accuracy and completeness disbursement 1.5 Control of receipt and disbursement of money including relevant documents 1.6 Collection and delivery of financial and other relevant documents
system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or
Institutions Development Fund bond and bond or debt instrument issued by the Ministry of Finance; (d) other liquid assets prescribed by the Office. “customer” means a person agreeing to receive an advice from an
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of