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

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

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

who have suitable knowledge and ability for the duty; (2) Disclosure of information that is necessary for making investment decision to the client including investment risk, fees or expenses, conflict

advice; (2) an evidence showing the delivery of document acknowledging the correctness and completeness of the adaptive information of a customer; (3) an analysis and document evidences supporting the

to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund

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

shall be in custody of a third party, the intermediary shall provide efficient system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the

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

exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary