The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

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

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

held, in order to secure the performance of derivatives contract. Clause 2. Derivatives broker shall provide evidences relating to derivatives trading as follows: (1) The evidence relating to the taking

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 by the clearing house or

the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with

17 February 2009, the Cabinet has declared 6 July 2009 a special public holiday in order to stimulate domestic consumption and promote tourism business. By virtue of Section 110 of the Securities and

units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit

the end of each business day in order to realize the profit or loss from derivatives position everyday. If mark to market went against investor position, the initial margin will decreases by that amount