obligations, but not in Clause 2(3); (3) twenty-five million baht for undertaking the following businesses without price settlement and contract delivery obligations: (a) Undertaking derivatives business with
and Exchange Commission No. Kor Yor. 4/2547 Re: Prescribing Contracts that Are Not Subject to The Derivatives Act B.E. 2546 (2003) ______________________ By virtue of Section 4(3) and Section 9 of the
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
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
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
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
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
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
Notification shall not apply to the mutual fund which the notification of the Capital Market Supervisory Board has specifically prescribed rules, conditions and procedures for liquidation of such mutual fund
dated 15 September 1992 shall be repealed. Clause In this Notification: “ Office ” means the Office of the Securities and Exchange Commission. Clause 2/1 This Notification shall not apply to the