matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
list of asset that an investor would be able to exchange with ETF units according to the requirements of such ETF . “ exchanging in-kind ” means entering into the following transactions with a management
has shown that it has already borrowed securities and the customer is able to deliver securities pursuant to the short sale items within the time period prescribed by the clearing house under the law on
Contacts will develop their skills and knowledge. The Contacts may participate in either one or more of the following activities namely, (i) attending a training course or seminar organized in-house by a
trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a contract, and has been licensed or registered under this Act, excluding any
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
license under the regulatory sandbox shall be able to demonstrate the ability to proceed in accordance with such procedure and internal control system throughout the period of providing services as a
in investment Securities 5. Investments in subsidiary and affiliated 6. Receivables from Clearing House 7. Securities business receivables and Derivatives business receivables 8. Others derivatives
able to complete the engagement within the reporting deadline. 4 Does the firm inform personnel of its acceptance and continuance of client policies and procedures? If yes, mode of communication. If no
the Stock Exchange of Thailand; “ derivatives exchange ” means the derivatives exchange established under the Derivatives Act B.E. 2546 (2003) ; “ derivatives clearing house ” means the derivatives