shall proceed or arrange its client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified
prescribed in Clause 6, Clause 7 and Clause 8. Clause 6 A securities company engaging in short selling shall proceed or arrange its client to comply with the following rules in order to deliver ETF units or
necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility
SEC Office shall proceed as prescribed by the Notification of the Capital Market Supervisory Board governing the prohibited characteristics of the personnel in securities business. 5 Repealed by the
any director or executive of the derivatives business operator possesses any prohibited characteristics, the SEC Office shall proceed as prescribed by the notification of the Capital Market Supervisory
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 34 For providing service to a client, a derivatives broker shall proceed as follows: (1
additional documents or evidence as seen appropriate within a period of time as specified by the SEC Office. If the applicant fails to comply or proceed within such period, the SEC Office shall consider that
income in 2018 was Bt52.3 million, decreasing by 11.2%(y-o-y) since lower interest income as the investment in short-term Government bonds have been reduced due to the proceed of investment in the Northern