Notification of the Office. Clause 4. In a short sale of securities pursuant to the customer’s order which is not an institutional customer, the securities company shall proceed as follows: (1) inform the

case may be. “ clearing house ” means a clearing house under the law on securities and exchange . Clause 3 This Notification is applicable to a securities company which wishes to engage in a short

submit the information on a short notice, the Office may not accept the course and the organizer will not be able to advertise the course as an accepted course for the renewal of approval for investor

the contract’s value, a relatively small movement of the market can lead to either large losses or gains within a short period of time. The Client may sustain losses significantly beyond the amount of

, derivatives contracts or other assets, execute a short sale, create any obligation or seek interest or benefit by other means, as the case may be, in accordance with the investment policy, objectives of the

cash accounts and margin accounts of all clients after deducting money deposited as collateral for securities borrowing for making a short sale of each client at the rate agreed upon by the securities

lending agreement for a short selling through a margin account shall comply with the requirements stipulated by the Stock Exchange of Thailand and approved by the SEC Office. Chapter 4 Provision on

, the lender and the borrower may agree on terms and conditions regarding collaterals different from the above rules. Clause 21 A securities borrowing and lending agreement for a short selling through a