for the benefit of the operation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
for the benefit of the operation (Translation) PAGE (Translation) -3- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for
company which undertakes short sales for itself, a foreign financial institution which undertakes short sales for itself or for customers domiciled in a foreign country and other persons prescribed by the
only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Capital Market Supervisory Board No. TorThor. 9/2554 Re: Short Selling of ETF
and Lending of Securities to Non-institutional Clients for Short Selling . Chapter 3 Additional Rules for Proprietary Trading of Intermediaries in the Category of Derivatives Broker ___________________
margin account under the notification of the SEC on short selling, the deposition or call for collateral form such customer shall be in accordance with the rule as notified by the Office by virtue of the
Issuance and Offer for Sale of Securities . (b) in case of reporting the result of the sale of debt securities, the terms “ debt securities ” “ short-term bonds ” “ short-term bills ” “ institutional
Unofficial Translation (Translation) PAGE (Translation) -2- Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. The
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
strictly for reference. The SEC, Thailand cannot undertake any responsibility for its accuracy, nor be held liable for any loss of damages arising from or related to its use. ---------------------- The