Procedural Guideline for Trading of Derivatives Contracts

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1 (UNOFFICIAL TRANSLATION) Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Thailand Futures Exchange Public Company Limited cannot undertake any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. Procedural Guideline for Trading of Derivatives Contracts Pursuant to Rule , 405, and 411 of TFEX Procedures, TFEX shall specify the Procedural Guideline for Trading of Derivatives Contracts concerning a member s operation relating to computer system used for trading, recording of orders and selling, amendment of trading particulars, determination of Speculative Position Limit and report the Large Position Report. For smooth trading on the TFEX, including the trading of derivatives contracts through an authorized trader, the internet, and the Direct Market Access system (DMA system), and for the prevention of potential risks from the trading of derivatives contracts, TFEX hereby requires that members comply with the following guidelines: 1. Recording of Orders 1.1 Each order to be recorded shall have at least a bid or an offer of 1 contract, and the maximum volume of the bid or offer shall not exceed the following volume: Derivatives Contracts Maximum bid or offer volume 10 Baht Gold Futures Not exceeding 100 contracts 5 Year Government Bond Futures and 3M BIBOR Futures SET50 Index Options and Single Stock Futures and Not exceeding 500 contracts Baht/USD Futures Thailand Futures Exchange Plc. Page 1 / 6

2 1.2 An Iceberg Order to be recorded shall have the Shown Quantity of at least a bid or an offer of 10 contracts. 1.3 A bid or an offer in a Combination Order to be recorded shall have maximum increase or decrease from [the difference in the latest settlement prices of the series composing such combination order] not exceeding the narrower range between: 1) [the range of] the differences between the Daily Price Limit calculated from the series composing such combination order, or 2) [the range of] maximum increase or decrease of a bid or an offer as shown in the following table: Derivatives Contract Changing Highest Bid or Ask Price Not exceeding + 10 points ENERGE Index Futures and COMM Index Futures Food Index Futures Bank Index Futures and Not exceeding points Not exceeding points Not exceeding + 10 points ICT Index Futures Single Stock Futures Not exceeding + THB 10 Not exceeding + THB Baht Gold Futures and 5 Year Government Bond Futures and Not exceeding M BIBOR Futures Baht/USD Futures Not exceeding + THB 3 Thailand Futures Exchange Plc. Page 2 / 6

3 1.4 The types and validity of the bid or offer, which are prohibited from being recorded at each trading session, are as follows: Derivatives Contract Pre-Open Session Morning/Afternoon Session Single Stock Future 10 Baht Gold Futures 5 Year Government Bond Futures 3M BIBOR Futures Baht/USD Futures and Set 50 Index Options* Combination Order, Special Market Order and Market to Limit Order types Good till Next Auction validity Market Order type with Day, Good till Date, Good till Cancel, Good till Time, Good till Session or Good till next Auction validities. Market Order type with Day, Good till Date, Good till Cancel, Good till Time, Good till Session or Good till next Auction validities. *SET50 Index Options is prohibited from being recorded as a Combination Order during any trading session. In addition, in the case of an adjustment of Single Stock Futures due to a corporate action, outstanding orders in the trading system at the end of the business day prior to the adjustment of Single Stock Futures will be automatically cancelled. 1.5 A member must arrange for verification to ensure the accuracy of the recording of the trading by the authorized trader of such member, or its customer, prior to submitting such record into the TFEX trading system as follows: the member must arrange for a trading record verification system to ensure that the trading record made by the authorized trader of such member, or its client, contains the particulars under Regulation , provided that the particular under Regulation (10), the Identification Number of Authorized Trader will be recorded in code as follows: Thailand Futures Exchange Plc. Page 3 / 6

4 in the case of trading through the authorized trader or a market maker, the identification number of the authorized trader or a market maker given by TFEX shall be recorded, e.g. Dxxxx (D followed by 4 digits number), Gxxxx (G followed by four digit number); in the case of internet trading, I1111 (I followed by 1111) must be recorded for trading by general investors; or I9999 (I followed by 9999) must be recorded for trading by institutional investors; in the case of Direct Market Access (DMA) trading D1111 (D followed by 1111) must be recorded for trading by general investors; or D9999 (D followed by 9999) must be recorded for trading by institutional investors; the member must arrange for the verification of the trading records in order to prevent errors in its operations. Where difference between [(i)] the bid or offer price and [(ii)] the last execution price is higher than the following rates prescribed by TFEX, the member must verify its accuracy and ask its client to confirm the trade prior to undertaking the transaction. Thailand Futures Exchange Plc. Page 4 / 6

5 Derivatives Contract TFEX Rates Single Stock Future + 5% of the last execution price 10 Baht Gold Futures and SET 50 Index Options + 5% of the SET50 Index previous day closing price 5 Year Government bond Futures + 1% of the last execution price 3M BIBOR Futures and Baht/USD Futures + 0.5% of the last execution price 2. Amendment of Trading Particulars In the case of an amendment to the trading particulars, the member must report and specify the reason for such amendment to TFEX, in accordance with the form and timeframe as prescribed by TCH. 3. Holding of Derivatives Positions Where any member or client opens several derivatives trading accounts with the member, irrespective of whether such accounts are opened for which order submission system provided by the member, such member is obliged to control, monitor and report the derivatives position held by the member or clients, in compliance with Regulation and Procedures 411, including all circulars, procedural guidelines, and orders of TFEX relating to such derivatives position. 4. A Members Operations in the Case of Internet Trading The member must provide a letter, or other written documents, representing that the client has acknowledged and accepted the conditions for internet trading of derivatives contracts, including the obligation of confidentiality and non-disclosure of information with regard to user names, passwords, and Thailand Futures Exchange Plc. Page 5 / 6

6 client identification numbers, such as PIN, ID, as well as the potential risks from the negligent use of such information. 5. A Member s Operations in the Case of DMA Trading Enforcement The member must undertake the following actions prior to permitting its clients to conduct DMA trading: 5.1 to prescribe, in writing, an express policy and the procedures for consideration of the permission for the client to conduct DMA trading; 5.2 to provide personnel to cooperate with TFEX with respect to DMA trading; and 5.3 to apply for permission from TFEX in accordance with the form and procedures prescribed by TFEX. This Procedural Guideline shall replace the Procedural Guidelines for Trading of Derivatives Contracts, dated 18 April 2014, and shall become effective from 1 August 2014 onwards. Thailand Futures Exchange Plc. Page 6 / 6

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