obligations with the intermediary and having been segregated clearly. Chapter 1 Scope of Proceeding _________________ Clause 4 For the purpose of debt repayment in the capital market as a whole and for a client
Exchange or the securities trading center with the approval of the Office, as the case may be; (2) short sale of securities which are debt instruments, whereby the Office also has the power to issue
of collateral; (c) total sum of the following liabilities: 1. payables with obligations to return borrowed securities, only in the portion not exceeding the value of collateral; 2. payables under
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
center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any center or network where services for clearing and settlement of obligations
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
and Exchange Commission No. SorKhor/Nor. 37/2550 Re: Relaxation on Calculation and Announcement of Net Asset Value of Mutual Funds Investing in Equity Instruments Issued by PTT Public Company Limited By
Exchange Commission No. KorThor. 43/2543 Re: Rules, Conditions and Procedures for Dealing of Debt Securities By virtue of Section 14 and Section 114 of the Securities and Exchange Act B.E. 2535 (1992), the
laws3 Specify the applicable laws on debt securities 1.1.4 Clarify the obligations to which the Company has committed in the registration statement for securities offering and/or the approval conditions
obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments