Contents. Procedures. Chapter 400 Trading. Page. 401 Trading Through the Trading System

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1 Contents Procedures Chapter 400 Trading Thailand Futures Exchange Pcl. 400 Page 401 Trading Through the Trading System Standards of the Member s Computer System Used in the Trading Installation of Computer Hardware Used in the Trading Connection of Computer Hardware Used in the Trading Computer Hardware or Software Used by the Member in the Trading Change or Modification to the Member s Computer System Readiness for Use of the Member s Computer System Trading Order Abbreviations of Types of Clients Amendment or Cancellation of the Order Amendment or Cancellation of Trading Transactions Amendment of Trading Transactions Cancellation of Trading Transactions

2 411 Stipulation of Position Limit and Reporting on Derivatives Position Request for Permission to Hold Derivatives Position in Excess of the Limit Stipulated in Contract Specification (Position Exemption) Reporting on Derivatives Position (Reportable Position) Circuit Breaker in the Trading of Derivatives Contracts Circuit Breaker in the Trading of Equity Index Futures Trading via the Internet System Use of Member s Computer Software for the Trading via the Internet System Change or Modification to the Member s computer System Used in the Trading via the Internet System Readiness for Use of the Member s Computer System Used in the Trading via the Internet System Protection of Information and Recording of Order via the Internet System Duties of Member in accordance with Trading via the Internet System Thailand Futures Exchange Pcl. 400

3 Procedures Chapter 400 Trading 401 Trading Through the Trading System Standards of the Member s Computer System Used in the Trading A member shall procure a computer system consisting of computer hardware and software used in the trading which are connected with the trading system. The functions of the member s computer system must meet the standards prescribed by TFEX or a person whom is delegated by TFEX to be a service provider Installation of Computer Hardware Used in the Trading (1) The member must install its computer hardware used in the trading which is connected with the trading system at each of its offices only, and must obtain permission from TFEX in case that the member wishes to install such computer hardware outside its office. (2) The member must inform TFEX of the places of installation of its computer hardware used in the trading, the types and number of such computer hardware, including the department and personnel responsible therefore, as well as the policy to authorize the use of its computer system within the time prescribed by TFEX. (3) The member must install computer hardware of terminal type which is used for making the offer at the places permitted by TFEX, and must not allow other persons not delegated to perform duties relating to the trading to enter such places. Thailand Futures Exchange Pcl

4 Connection of Computer Hardware Used in the Trading (1) The member may allow another person to connect his computer hardware used in the trading with the member s computer system which is connected with the trading system to enable such person to record the offer into the member s computer system directly or to allow such person to receive data from the trading system through such connection. This shall mean to include the trading through an internet system. Such connection of computer hardware shall require the permission of TFEX in accordance with the rules, conditions and procedures prescribed by TFEX. (2) In any case whatsoever, the member must be liable to any damage caused to the trading system due to its permission of the connection of any person s computer hardware with its computer system that is connected with the trading system Computer Hardware or Software Used by the Member in the Trading (1) The computer software used by the member in the trading which is connected with the trading system shall be that procured or designated by TFEX. (2) The member may use the computer software of its own or of a system developer only with the permission of TFEX in accordance with the rules as follows: (2.1) The member must submit the documents or media showing details of the computer software used in the trading as prescribed by TFEX, and must certify that its computer system has the functions that are in accordance with and are not in violation of or in contradiction to the requirements of TFEX and does not cause damage to the trading system and that there is an arrangement that meets the standard as required under the rule (1). Thailand Futures Exchange Pcl

5 (2.2) In case that the computer system or computer software used in the trading by the member is developed by a system developer, the member shall cause such system developer to certify that it possesses the qualifications under (3) and that the computer software or the functions of the computer system of such member are in accordance with and are not in violation of the requirements of TFEX and do not cause damage to the trading system and that there is an arrangement that meets the standard as required under the rule (1). TFEX may require the member to procure or change the person who audits and certifies the functions of its computer system and computer software as deemed appropriate. (2.3) The computer system and/or computer software of the member and/or the system developer must pass the test of functions in accordance with the rules, conditions and procedures prescribed by TFEX. (3) The member s system developer must possess or maintain the qualifications in accordance with the criteria as follows: (3.1) has a secured financial condition and not being exposed to any risk that may adversely affect its business operation; (3.2) is experienced in developing and providing services related to computer software for not less than 2 years before the filing of application or within a period as TFEX deems appropriate; (3.3) has executives who are capable and honest, and have business ethics and experience in the business of computer system development; (3.4) has a management system in relation to the development and service of computer software that is acceptable according to international standards or the standards recognized by TFEX; Thailand Futures Exchange Pcl

6 (3.5) has adequate personnel who are knowledgeable, capable and experienced in the development and provision of service of computer software related to the trading system. (4) In case that TFEX is of the opinion that the member s system developer cannot maintain the qualifications mentioned above or has falsely certified the functions of the computer system or computer software used in the trading which is connected with the trading system and may cause damage to the trading system, TFEX may prohibit the member from using such computer system or computer software or require the member to change its system developer or to do any other act as TFEX deems appropriate. (5) The member must be liable to any damage that is or which might be caused to the trading system as a result of the use of computer software used in the trading Change or Modification to the Member s Computer System (1) In case that the member wishes to make any change or modification in connection with its computer system as described below, the member shall comply with the rule (2) before beginning to use the computer system that has been changed or modified: (1.1) change of system developer; (1.2) change of technology of the computer software; (1.3) change of functional specification of part of the member s computer system related to its trading which is connected with the trading system; (1.4) other matters as prescribed by TFEX. (2) In case that the member wishes to make any change or modification in connection with its computer system as described below, the member shall comply with the rule (2) (2.1) and (2.2) before beginning to use the computer system that has been changed or modified: Thailand Futures Exchange Pcl

7 (2.1) change of network architecture of the member s computer system which is connected with the trading system; (2.2) change of site of computer system s server of the member which is connected with the trading system; (2.3) other matters as prescribed by TFEX. (3) In case that the member makes any change or modification in connection with its computer system as described below, the member shall report it to TFEX in the form and within the time prescribed by TFEX: (3.1) change of network architecture of computer system of the member s branch office; (3.2) change of functional specification of part of the member s computer system which is related to its trading other than that as described in (1.3); (3.3) change of site of computer system s server of the member s branch office; (3.4) change or alteration of the management and control of security systems in the operations (Security Management); (3.5) other matters as prescribed by TFEX. (4) The member shall have the measures to strictly control and oversee the change or alteration related to its computer system used in the trading as permitted by TFEX so as to prevent any damage that may be caused to the trading system Readiness for Use of the Member s Computer System The member must be ready in the use of its computer system as follows: Thailand Futures Exchange Pcl

8 (1) The member must have in place the management and control of security systems in its operations (Security Management) as stated below which meet the standards prescribed by TFEX in the attachment hereof: (1.1) a physical security system in the installation site of its computer hardware used in the trading which is connected with the trading system; (1.2) a network security system to prevent unauthorized persons from entering into the system and being able to acquire or change data from the trading; (1.3) a user authentication and privacy system to confirm that the system user is an authorized person as well as the protection of client privacy; (1.4) an information security standard; (1.5) other matters as prescribed by TFEX. (2) The member must have in place the backup plan and backup system for its computer system connected with the trading system which must be capable of immediate implementation to cope with the circumstance where the member s computer system is malfunctioning, and must arrange for a test of such backup system at least once a year. The member must also make a report on such backup plan and backup system as well as the outcome of a test of backup system to TFEX within the prescribed time. (3) The member must participate in a test of the trading system, the backup trading system and the use of backup computer system which TFEX procures for the member in case that the member s backup system is malfunctioning as required by TFEX, and must report on the outcome of such test to TFEX. Such report on the outcome of a test must be certified by an authorized signatory according to the list which the member has given to TFEX. Thailand Futures Exchange Pcl

9 (4) The member must have sufficient personnel in charge of overseeing its computer system which is connected with the trading system in order to coordinate with TFEX during and outside the business hours. (5) The member must certify its computer system or computer software used in the trading in accordance with the rule (2)(2.1) and (2.2) every two years. (6) The member must have in place a test environment which is used for testing the functions of its computer system that is connected with the trading system, and can operate in the same manner as its computer system. 405 Trading Order Abbreviations of Types of Clients The member must specify the types of clients according to the rule (7) by using the abbreviations as follows: Type of Clients Abbreviation Member s account Foreign clients Clients that are fund management companies, banks, finance P F M companies, non-life insurance companies, life insurance companies, juristic person corporations, private funds, Government Pension Fund and provident funds Clients other than the three types of clients listed above C Thailand Futures Exchange Pcl

10 Amendment or Cancellation of the Order The member may amend or cancel the order only before it is matched, and only where a client requests the amendment or cancellation of its trading order or where the member has submitted an order which is not correct according to the trading order received. Amendment of an order by the member according to paragraph one can be made only to the following particulars: (1) price of the order; (2) volume of the order; (3) type and/or condition of the order; (4) account number; (5) type of clients; (6) open or close position; (7) type of account opened with TCH; (8) other particulars as prescribed by TFEX. Amendment or cancellation of an offering shall be made by an authorized trader. The amendment to a price of the order or the increase of a volume of the order will result in loss of priority of the order (Losing Time Priority). 407 Amendment or Cancellation of Trading Transactions Amendment of Trading Transactions Amendment of a trading transaction shall be made in accordance with the rules, conditions and procedures prescribed by TCH, and the member shall make a report and clarify the reasons for such amendment of trading transaction to TFEX as prescribed. Thailand Futures Exchange Pcl

11 Cancellation of Trading Transactions TFEX will consider accepting the member s application for cancellation of a trading transaction resulting from an automatic matching in accordance with the rules as follows: (1) A trading transaction which TFEX may consider for cancellation must have the execution price outside the range of price surrounding the current market prices (No Bust Range) designated by TFEX. (2) In the request for cancellation of a trading transaction, (2.1) The member shall make known its request for cancellation of a trading transaction executed by it within 10 minutes from the time that the trading system matched the trading order, and shall send an application for cancellation of a trading transaction as prescribed by TFEX within 20 minutes from the time that the trading system matched the trading order. (2.2) When TFEX receives a notice of such request for consideration of the cancellation of trading transaction from the member, TFEX shall make notification thereof to the counterparty member and announce to the members in general without delay that a request for consideration of the cancellation of such trading transaction is received. (2.3) If the counterparty member wishes to provide information to TFEX to support the consideration on such matter, it shall make a notice to TFEX within 10 minutes from the time that TFEX makes an announcement to the members in general. (2.4) Consideration of the cancellation of trading transaction shall be at the discretion of TFEX. The result of such consideration shall be final and binding upon the member having interest in a trading transaction for which the cancellation is requested. (2.5) When TFEX has considered the cancellation of trading transaction, TFEX shall announce the result of consideration for general information without delay. Thailand Futures Exchange Pcl

12 (3) Preventive measure The member shall notify the measure or procedures for preventing a trading transaction for which cancellation is requested from taking place again by providing details according to an application for cancellation of a trading transaction as prescribed by TFEX within the business day following the date of requesting for cancellation of the trading transaction. (4) Fee for the consideration of the cancellation of trading transaction The member must pay a fee for the consideration of the cancellation of trading transaction to TFEX when TFEX has received a notice from the member according to (2)(2.1). Such fee must be paid by the member, irrespective of whether the trading transaction is cancelled or not, in accordance with the rules prescribed by TFEX. 411 Stipulation of Position Limit and Reporting on Derivatives Position Request for Permission to Hold Derivatives Position in Excess of the Limit Stipulated in Contract Specification (Position Exemption) In case that any person wishes to hold derivatives position in excess of the limit stipulated by TFEX, such person shall file an application for position exemption together with documents and evidence as prescribed by TFEX through a member with whom such person opens a trading account with. TFEX will consider an application for position exemption under the first paragraph and notify the result of consideration through the member submitting an application within 7 business days from the date of receiving complete information and documents and evidence under the first paragraph. The member shall have the duty to report information concerning the assets, liabilities, obligations and other relevant information of the person whom is granted the exemption in accordance with the rules prescribed by TFEX. Thailand Futures Exchange Pcl

13 TFEX may review and change the position limit previously permitted. In case that such review will cause the position then held by any person to exceed the changed limit, the member shall arrange for such person to hold a position not exceeding the limit changed by TFEX. Unless permission is obtained from TFEX, such arrangement shall be completed within 5 business days Reporting on Derivatives Position (Reportable Position) The member shall report the derivatives position in its own account or that of its client within the period and in accordance with the procedures prescribed by TFEX when the member or its client holds a derivatives position as specified in the contract specification. If the position of the member or such client falls below that specified in the contract specification, the member shall continue to report such position for another one business day. 412 Circuit Breaker in the Trading of Derivatives Contracts Circuit Breaker in the Trading of Equity Index Futures TFEX may consider implementing the circuit breaker measure in the trading of equity index futures as follows: (1) If the execution price of equity index futures falls by 10% of the previous day settlement price, TFEX will allow the continued trading of such futures provided that such execution price must not fall below 10% of the previous day settlement price. TFEX will halt the trading of equity index futures when the SET halts the trading of securities as a result of the activation of its circuit breaker system, and will allow the trading of equity index futures again when the trading on the SET resumes. Thailand Futures Exchange Pcl

14 (2) After the trading resumes, if the execution price of equity index futures falls by 20% of the previous day settlement price, TFEX will allow continued trading of such futures provided that such execution price must not fall below 20% of the previous day settlement price. TFEX will halt the trading of equity index futures upon the second halting of securities trading by the SET as a result of the second activation of its circuit breaker system, and will allow the trading of equity index futures again when the trading on the SET resumes. (3) After the second resumption of trading, TFEX will allow continued trading provided that the execution price of the equity index futures must not fall below 30% of the previous day settlement price. In the resumption of trading of equity index futures after its suspension, TFEX will provide a certain pre-open period before the trading is resumed as prescribed by TFEX. 413 Trading via the Internet System Use of Member s Computer Software for the Trading via the Internet System The member may use the computer software of its own or of a system developer only with the permission of TFEX in accordance with the rules as follows: (1) The member must submit the documents or media showing details of the computer software in the member s computer system which is connected with computer equipment used in the trading via the Internet system as prescribed by TFEX, and must certify that its computer software has the functions that are in accordance with and are not in violation of or in contradiction to the requirements of TFEX and does not cause damage to the trading system and that there is an arrangement that meets the standard as required under the rule Thailand Futures Exchange Pcl

15 (2) In case that the computer software used in the trading by the member is developed by a system developer, the member shall cause such system developer to certify that it possesses the qualifications under the rule (3) and that the computer software or the functions of the computer system of such member are in accordance with and are not in violation of the requirements of TFEX and do not cause damage to the trading system and that there is an arrangement that meets the standard as required under the rule (3) The computer software of the member and/or the system developer must pass the test of functions in accordance with the rules, conditions and procedures prescribed by TFEX. In case that TFEX is of the opinion that the member s system developer cannot maintain the qualifications under the rule (3) or has falsely certified the functions of the computer software used in the member s computer system and may cause damage to the trading system, TFEX may act as prescribed by the rule (4). The member must be liable to any damage caused or may cause to the trading system due to trading via the Internet system Change or Modification to the Member s computer System Used in the Trading via the Internet System In case that the member wishes to make any change or modification in connection with its computer system used in the trading via the Internet system, the member shall comply with the rule In case that the member wishes to change Internet service provider (ISP), the member shall report it to TFEX in the form and within the time prescribed by TFEX. Thailand Futures Exchange Pcl

16 Readiness for Use of the Member s Computer System Used in the Trading via the Internet System The member must be ready for the use of its computer system used in the trading via the Internet system as follows: (1) The member must have the computer software in the member s computer system which is connected with computer equipment used in the trading via the Internet system, which has already been passed the test with TFEX. (2) The member must have in place the management and control of security system in its operations (Security management) as stated below which meet the standards prescribed by TFEX: (2.1) a physical security system in the installation site of its computer equipment used for providing the trading via the Internet system service (Physical Security); (2.2) a network security system to prevent unauthorized persons from entering into the system and being able to acquire or change data from the trading (Network Security); (2.3) a user authentication and privacy system to confirm that the system user is an authorized person as well as the protection of client privacy (User Authentication and Privacy); (2.4) an information security standard; (2.5) the other management and control of security systems in its operations as prescribed by TFEX. (3) The member must have a risk management system to manage risk from the operation of trading via the Internet system as guidelines prescribed by TFEX. (4) Other matters as prescribed by TFEX. Thailand Futures Exchange Pcl

17 Protection of Information and Recording of Order via the Internet System The member must procure measures to keep clients information confidential and control the recording of order by any other person for a client except in the case of any disruption where the client cannot record an order into the member s computer system, the clients may assign an authorized trader to record an order on his/her behalf Duties of Member in accordance with Trading via the Internet System (1) The member shall cause its client to comply with the followings: (1.1) Not to use any computer software other than the member s computer software which is connected with the computer equipment used in the trading via the Internet which receives permission from TFEX. (1.2) Not to allow any other person to connect computer equipment with the computer equipment that a client uses in the trading via the Internet which would thereby enable such person to record the order into the member s computer system directly. In any case whatsoever, the member must be liable to any damage caused to the trading system due to its permission for the client to record order into the member s computer system. (2) In case that the client s order is in violation of or is not in accordance with the rules and regulations, circular letters or orders of TFEX, the member must take any or several steps as follows: (2.1) To inform the client not to enter such an order into the trading system; (2.2) To cancel such an order of the client; (2.3) To suspend the Internet trading service to the client. Thailand Futures Exchange Pcl

18 (3) In case of any change in the trading system, or the issuance or change in the rules and regulations, circular letters or orders of TFEX in accordance with the trading, the member shall change or modify and test its computer system as notified by TFEX. ********************************* Thailand Futures Exchange Pcl

19 Schedule of Fees Relating to Trading Procedures of TFEX Chapter 400 Trading Type of Fee Rate of Fee Payment Schedule 1. Fee for the request of cancellation of trading transaction - 50,000 baht per transaction for the request for cancellation of the 1st to 3rd transactions in the relevant calendar year - 100,000 baht per transaction for the request for cancellation of the 4th and subsequent transactions in such relevant calendar year Within 3 business days from the date of notification of a request for cancellation of a trading transaction 2. Fee for the issuance of certificate of trading 10 baht per transaction, but not less than baht 100 per one application On the date of filing an application for issuance of certificate of trading Thailand Futures Exchange Pcl

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