following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward

the SEC Office in advance within 15 days prior to such outsourcing. Clause 15 An intermediary shall have a policy, measure and guideline for outsourcing operational function to a service provider in

approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the

business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party

. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other

termination of contract, as the case may be, in the form as specified by the Office in advance. Clause 9. In purchasing investment units under clause 8(3), mutual fund management company shall operate with

of derivatives broker; “derivatives contract” means a derivatives contract under Section 3 of the Derivatives Act B.E. 2546 (2003) having securities, gold, crude oil, currencies, exchange rate

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

the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is

the trading account or trading the futures and/or options on behalf of the Client as follows: 1. Futures 1.1 Nature of Futures Futures is a contract in which parties are bound to perform their