matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a

for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre-conditions or post

securities companies, an officer of the Bank of Thailand or of the Office, except in cases where: (a) an appointment is made with the approval from the SEC for the purpose of assisting in the operation of a

such units from foreign exchange for making delivery; (2) in case of short selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to be exchanged for ETF units

exemption due to: O the appointment has been made with the approval of the SEC for the purpose of assisting in the operation of a securities company; O the appointment has been made under Section 145; O the

consider and determine the scope of investment of mutual fund, private fund or derivatives investment management. “ investment management assistant ” means a person who performs the duty of assisting

” means a person who performs the duty of assisting decision making to invest or trade capital market product and could access information on investment by virtue of performing such duty, regardless by