The Member must arrange for risk control measures and minimum PTRM which apply to every single trading channel for standardization as follow:

• Risk control measures
  1. Have measures to protect clients’ confidential information;
  2. Arrange for risk control measures and a    Pre-trade Risk Management System to screen the orders before submission into the Trading System, and such system must consist of the screening filters prescribed by the SET whereby the suitability of such measures shall be regularly reviewed;
  3. Arrange for the management over which the Members has the authority to control and manage including the setting and changing of parameters in the Pre-trade Risk Management System whereby the suitability of such parameters shall be regularly reviewed;
  4. Have measures to prohibit another person to submit order for clients.
  5. Have trading transaction log keeping to be able to submit them to the SET upon the SET’s request.
  6. Make sure that clients acknowledge and comply with the regulations of the SET.
  7. Submit information in relation to the clients and the clients’ trading information to SET upon the SET’s request.
• Minimum PTRM controls are:
  1. Credit / Exposure Limit
  2. Maximum Value Per Order
  3. Maximum Volume Per Order
  4. Order Price Check
  5. Kill Switch Function 
  

1. Member submits request form for connection to SET trading system via SCP Member Digital form https://www.setportal.set.or.th  
   
   
2. Member conducts a system test and submits test results.
   
   
3. SET reviews the request form, supporting documents and test results.
   
   
4. The approval decision is made by SET. After receiving approval from SET, the member will then be able to inform clients they can send trading orders via Direct Market Access.

The length of the approval process depends upon the accuracy and completeness of the member’s request form, supporting documents and test results.

Equity Trading

• Securities trading
  1. Procedures on Trading, Clearing and Settlement of Securities in the Exchange B.E. 2560 (2017)
  2. Practice Guideline regarding Trading, Clearing and Settlement of Securities in the Exchange 
  3. Trading Clearing and Settlement of Securities in the Exchange B.E. 2555 (2012)
• Securities trading system
  1. Standards of Trading of Securities through Trading System
  2. Guideline on screening criteria of prospective Direct Market Access (DMA) clients (If any)