by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
debtors according to the first paragraph shall be made through registered mail with advice of delivery, or through other methods with evidence of delivery. Clause 8. After all debts has been repaid or the
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
waiver is neither inconsistent with nor contrary to the rules relating to the protection of the investors in the host country where such mutual fund offers investment units for sale; Clause 11 In the case
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
right and duties of the investment advisory company and the investment advisory agent which is not contrary to or inconsistent with this Notification and other relevant Notifications. The investment
guidelines. The rules or practice guidelines under Paragraph 1 shall at least include the following matters: (1) receipt or delivery of clients’ assets ; (2) keeping of records of clients’ assets ; (3
exchange; (b) containing no provisions that permit one party having the obligation to deliver goods to settle by cash or set-off with the other party in lieu of the delivery of goods ; and (c) the customary
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