: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
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
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
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
entitlement in property held on trust by a derivatives business operator for its customer with a view to delivery or as a result of acceptance of delivery under derivatives transaction for the account of a
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
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
of qualifications or possession of prohibited characteristics under Section 21; (5) 4 termination by the Cabinet’s resolution upon recommendation of the SEC, as advised by the SEC, due to gross
applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept