The Derivatives Act The Derivatives Act B.E. 2546 SECTION 18. In order to protect customers, maintain stability of the financial system or control the risks arising from derivatives, the SEC shall

of ETF units by means of purchasing such units from foreign exchange for making delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering according to short

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

prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary

. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

held, in order to secure the performance of derivatives contract. Clause 2. Derivatives broker shall provide evidences relating to derivatives trading as follows: (1) The evidence relating to the taking

Businesses . In order to adhere to the principles, the intermediary shall comply with this Notification. In this regard, where the rules, under this Notification or under other Notifications of Capital Market

the benefit of compliance with the order of the SEC Office, by virtue of section 141 (2) of the Securities and Exchange Act, B.E. 2535 (1992), the Office of the Securities and Exchange Commission, with