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

which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the

delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of

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

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

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer

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

applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of

หลักทรัพย์กระทำในเวลาเดียวกัน (Delivery versus Payment หรือ DvP) ซึ่งเป็นมาตรฐานสากล ตามคำแนะนำของ Group of 30 หรือ G 30 ซึ่งเป็นการรวมกลุ่มขององค์กรที่ให้บริการภายหลังการซื้อขายหลักทรัพย์ที่จัดตั้งขึ้น