comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
therefore he is required to make margin deposit with a derivatives agent to secure his/her performance under the options similar to the case of futures trading. With an unfavourable movement in the market
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
invested or held equity instruments issued by PTT Public Company Limited : (1) mutual fund excluding ETF; (2) provident fund. Clause 2. In case where the Stock Exchange of Thailand issues a temporary trading
. “Institutional investor” means: (1) Commercial Banks; (2) Financial companies; (3) Securities companies which purchase investment units for proprietary trading, managing for private funds, or for management of
provision of services by the Stock Exchange of Thailand and a securities trading center not participating in the regulatory sandbox , and that the service user’s consent is required prior to provision of such
Exchange” means the Stock Exchange of Thailand; “securities trading center” means the securities trading center under the law on securities and exchange; “Office” means the Office of the Securities and
the trading transactions of securities brokerage licensees who are not members of the Stock Exchange; (b) the trading value of debt securities. (2) the license fee for non-members of the Stock Exchange
trading of the client in order to comply with the order of the Stock Exchange of Thailand, the Securities Depository, the securities registrar, the clearing house or the SEC Office in cases where it appears
the Stock Exchange of Thailand under the Securities and Exchange Act. “securities trading center” means any securities trading center under the Securities and Exchange Act. “securities clearing house