of the independent directors under the first paragraph of sub clause (2) would not be applied to an intermediary in the category of investment advisor or derivatives advisor; (3) having appropriate
consequence thereof. In this regard, while awaited delivery of the asset or investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost
trading day, settlement day, delivery or settlement method, and the delivery or reference price used to determine settlement price and margin requirements. The Client should consider if the investment is
under the law on securities and exchange . “ foreign ETF ” means a collective investment scheme in the category of exchange-traded fund either in form of company or trust under foreign law. “ short
services to the service user by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment
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
representing entitlement in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s
ขายตราสารหนี้ภาครัฐ ด้วยปัจจุบันการซื้อขายตราสารหนี้ภาครัฐ ได้มีระบบการชำระราคาและส่งมอบ หลักทรัพย์ที่มีลักษณะ DVP (delivery versus payment) โดยทำผ่านระบบ Bahtnet 2 ของธนาคารแห่งประเทศไทย จึงทำให้มี
represent entitlement in assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives
seller is obliged to deliver the goods to the buyer while the buyer is obliged to make payment to the seller (physical delivery) or any party shall be paid or shall pay to the other party in the amount