Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made
promissory notes issued, accepted or given aval by financial institutions and held by the company for payment of short-term encumbrance rather than for investment or other purpose such as on call promissory
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
ทรัพย์นั้น ก่อให้เกิดภาระในอนาคตด้วย ให้ตั้งภาระดังกล่าวเป็น short position ด้วยเช่นกัน เช่น กรณีการยืมหลักทรัพย์ เป็นต้น หลักทรัพย์โอนออก 1) ทางด้านการรายงานสินทรัพย์ ให้หักออกจากเงินลงทุน 2) ทางด้านการ
with short position) are required to make an initial margin deposit with their futures agent to secure their performance under futures contracts. Since the amount of initial margin is small compared to
, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the
(cash settlement); 2. Investment in futures has high risk. Futures trading is a high risk investment where investor may face unlimited loss. Hence, before deciding to trade in futures, the investor should
assigned investment grade credit rating according to Paragraph 2 of clause 7/2, or the Government, or the Ministry of Finance has guaranteed the principal and interest in full amount; (b) in case of deposits