into exchanging in-kind for making delivery; (b) there has been an order to purchase units of foreign ETF while placing short selling order, in case of short selling of ETF units by means of purchasing
the Public (No.2) dated 7 September 1992. Clause 2 In this Notification and the forms attached to this Notifications: (1) (a) in case of reporting the results of selling securities which is not debt
also comply with the explanation attached hereto. Clause 4. In the case where the securities company desires to submit a financial statement under Clause 3 to the Office in the form of electronic data
appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this Notification; (4
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
collection or any other compensation to be collected from the securities issuer. Clause 5/1 ( In the case where the Office has considered that the applicant for a license under Clause 3 has the accurate and
depository or the Bank of Thailand to make securities deposit, withdrawal or book-entry transfer for the purpose of making or taking delivery in the traded securities, as the case may be; “Office” means the
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
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
requirements under this Notification in order to instruct appropriate and corresponding practicality. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied